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 |
|---|---|---|---|---|---|---|---|---|
| Owen Kenji Yamamura | 3172838 | 1 | 03/31/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Richard Lann Farrar | 1010027 | 1 | 03/29/2000 | Customer Dispute | Settled | $22,958.00 | $0.00 | See FINRA Report |
| Robert Alexander Solley | 2079020 | 2 | 01/10/2000 | Customer Dispute | Settled | $30,253.70 | $0.00 | See FINRA Report |
| Werner Frank Klun | 2046028 | 1 | 03/23/1999 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Mitchell Scott Kahn | 2358007 | 1 | 03/04/1999 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 01/19/1999 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 12/18/1998 | Customer Dispute | Settled | $22,731.00 | $0.00 | See FINRA Report |
| Daniel Grieco | 1222747 | 3 | 12/10/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 11/11/1998 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 09/22/1998 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |