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 |
|---|---|---|---|---|---|---|---|---|
| David Don Semersky | 2943874 | 4 | 11/15/2004 | Customer Dispute | Settled | $14,972.50 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 10/27/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 08/24/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Alexander Solley | 2079020 | 2 | 07/20/2004 | Customer Dispute | Settled | $1,800,000.00 | $0.00 | See FINRA Report |
| Peter Paul Stefanic | 1071670 | 3 | 05/21/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 05/20/2004 | Customer Dispute | Settled | $20,588.00 | $0.00 | See FINRA Report |
| Jonathan Edward Rogers | 2619428 | 2 | 01/14/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Douglas P Hepburn | 2845633 | 1 | 12/20/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Scott Cutshall | 1907599 | 2 | 12/10/2003 | Customer Dispute | Settled | $10,501.50 | $0.00 | See FINRA Report |
| Gaston Guillermo Escudero | 2077442 | 2 | 12/08/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |