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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Barry Smith | 1016825 | 2 | 12/30/2020 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 11/16/2020 | Customer Dispute | Settled | $420,887.00 | $0.00 | See FINRA Report |
| Christopher Robert Rubano | 1571187 | 1 | 09/10/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Bryan Haw | 2905167 | 3 | 09/09/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Martin S Berman | 2406962 | 2 | 08/24/2020 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Derek Guy McLean | 1939560 | 2 | 08/24/2020 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Steven Trevor Skipper | 4265009 | 3 | 08/07/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 07/01/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 05/21/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David Samuel Waters | 734939 | 1 | 04/21/2020 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |