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 |
|---|---|---|---|---|---|---|---|---|
| Stuart Bryan Haw | 2905167 | 3 | 04/01/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Tuan Anh Ngo | 2819426 | 2 | 11/29/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Reed McCook | 4155186 | 3 | 11/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Derrig | 6407661 | 1 | 05/06/2019 | Customer Dispute | Settled | $6,233.43 | $0.00 | See FINRA Report |
| Andrew A Arno | 2834759 | 3 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| James Joseph Gibson | 1420473 | 1 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Bahary | 1294796 | 1 | 03/08/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Brian Michael Youngs | 2479488 | 3 | 01/16/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Kirby Spencer McDonald | 1622995 | 2 | 11/07/2018 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Tuan Anh Ngo | 2819426 | 2 | 07/10/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |