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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Paul MacDonald | 2250393 | 1 | 05/15/2018 | Customer Dispute | Settled | $22,358.20 | $0.00 | See FINRA Report |
| Douglas Haig Alexander | 2087736 | 2 | 04/25/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laurence Mark Fotsch | 2003513 | 1 | 11/23/2017 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Nicholas Caputo | 1389962 | 4 | 09/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Thomas | 5239983 | 2 | 07/24/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 04/17/2017 | Customer Dispute | Settled | $134,597.00 | $0.00 | See FINRA Report |
| Mark M Black | 2514794 | 1 | 02/13/2017 | Customer Dispute | Settled | $43,353.70 | $0.00 | See FINRA Report |
| Andrew John Costanzo | 54857 | 2 | 12/20/2016 | Customer Dispute | Settled | $279,000.00 | $0.00 | See FINRA Report |
| Robert William Keyes | 1419419 | 2 | 08/29/2016 | Customer Dispute | Settled | $179,872.00 | $0.00 | See FINRA Report |
| Amanda Marie Gibson | 4948245 | 2 | 07/18/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |