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 |
|---|---|---|---|---|---|---|---|---|
| Brian Robert Thomas | 5239983 | 2 | 03/21/2022 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Anthony Calhoun | 3264219 | 1 | 03/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Brooks Alsdorf | 721399 | 1 | 03/02/2022 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Edward C Yoon | 2408137 | 4 | 02/25/2022 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Brian William Heublein | 714280 | 1 | 12/31/2021 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 12/14/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Randall John Mason | 1758777 | 2 | 11/30/2021 | Customer Dispute | Settled | $134,000.00 | $0.00 | See FINRA Report |
| Dean Douglas Cudworth | 2171732 | 1 | 10/25/2021 | Customer Dispute | Settled | $11,402.00 | $0.00 | See FINRA Report |
| Robert Stanley Fagan | 1572927 | 3 | 10/21/2021 | Customer Dispute | Settled | $124,048.00 | $0.00 | See FINRA Report |
| Douglas Robert Filipovits | 4603657 | 2 | 09/16/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |