Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Advisors LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gerard George Figari | 1343962 | 5 | 03/16/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gerard George Figari | 1343962 | 5 | 12/30/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 09/10/2010 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Rocco Anthony Domicolo | 1259806 | 1 | 09/07/2010 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Gerard George Figari | 1343962 | 5 | 08/06/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Louis Diaz | 1327431 | 1 | 07/19/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Phillip Horace Cardinale | 1287524 | 3 | 04/27/2010 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |
| Gary Whitworth Pearson | 1714614 | 1 | 01/29/2010 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| John David Kadletz | 4455776 | 1 | 09/08/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John A Mayfield | 4316324 | 2 | 08/03/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |