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 |
|---|---|---|---|---|---|---|---|---|
| Roger Scott Green | 1795639 | 3 | 09/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Paul John Rizzo | 2464522 | 1 | 07/19/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 06/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 06/22/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Bryan Christopher Davis | 2468251 | 5 | 04/01/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 03/26/2021 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 03/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Keith Rushing | 6399994 | 2 | 01/28/2021 | Customer Dispute | Settled | $11,605.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 01/05/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |