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 |
|---|---|---|---|---|---|---|---|---|
| James Alan Hoffman | 2670530 | 4 | 08/25/1998 | Customer Dispute | Settled | $180,328.00 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/10/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Damon Robert Bootes | 2444844 | 3 | 03/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Jones | 2124573 | 1 | 11/26/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Alan Mazo | 1970174 | 1 | 05/20/1996 | Customer Dispute | Settled | $33,500.00 | $0.00 | See FINRA Report |
| Scott David Horner | 2059483 | 1 | 04/01/1996 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Mark Ivan Bass | 14422 | 3 | 06/05/1995 | Customer Dispute | Settled | $927,806.00 | $0.00 | See FINRA Report |
| Stewart Charles Paskalis | 357442 | 3 | 06/01/1995 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Dale E Hohlbaugh | 1259920 | 3 | 05/22/1995 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Daniel Doyle Porter | 849544 | 3 | 05/09/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |