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 Joseph Prushan | 1112586 | 1 | 03/22/1995 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Caren Lee Lawson | 1435442 | 1 | 11/03/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Gerard George Figari | 1343962 | 5 | 06/02/1994 | Customer Dispute | Settled | $77,500.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $7,044.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $11,702.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $19,342.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $17,669.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $32,680.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $15,330.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 10/21/1993 | Customer Dispute | Settled | $6,508.00 | $0.00 | See FINRA Report |