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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Edward Brunette | 813924 | 23 | 11/10/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Neil Hefley | 1468922 | 1 | 10/30/2003 | Customer Dispute | Settled | $20,363.60 | $0.00 | See FINRA Report |
| Christopher J Braccia | 3273855 | 1 | 10/15/2003 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 10/06/2003 | Customer Dispute | Settled | $17,336.50 | $0.00 | See FINRA Report |
| Gary Galen Peterson | 1205047 | 1 | 10/05/2003 | Customer Dispute | Settled | $365,698.00 | $0.00 | See FINRA Report |
| Richard Scott Laskin | 2201317 | 2 | 10/03/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Maximillian Thurlow | 2257683 | 4 | 07/28/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Marlene Mazur | 854366 | 3 | 07/17/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 05/27/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Carnes | 714111 | 1 | 05/01/2003 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |