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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Kent Markham | 1863372 | 2 | 04/11/2003 | Customer Dispute | Settled | $9,900.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 03/18/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 03/12/2003 | Customer Dispute | Settled | $178,300.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 03/12/2003 | Customer Dispute | Settled | $193,074.00 | $0.00 | See FINRA Report |
| William Garfield Levis | 3199434 | 2 | 03/12/2003 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| John David Foster | 2622889 | 1 | 02/24/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jonathan Mitchel Lipchin | 2326770 | 2 | 02/11/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 01/20/2003 | Customer Dispute | Settled | $42,948.60 | $0.00 | See FINRA Report |
| Andrew Kent Markham | 1863372 | 2 | 12/27/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Gregory John Bayer | 1526183 | 3 | 12/27/2002 | Customer Dispute | Settled | $75,469.00 | $0.00 | See FINRA Report |