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 |
|---|---|---|---|---|---|---|---|---|
| James Alan Hoffman | 2670530 | 4 | 06/14/2021 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| Randy Charles Blasdell | 1160003 | 1 | 04/05/2021 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 5 | 09/09/2019 | Customer Dispute | Withdrawn | $8,176.00 | $0.00 | See FINRA Report |
| Ryan Joseph Graczyk | 4405198 | 1 | 07/21/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Joseph Coloso | 1286282 | 1 | 06/26/2015 | Customer Dispute | Withdrawn | $10,136.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 02/22/2010 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Andrew Craig Umbach | 4658279 | 1 | 01/28/2010 | Customer Dispute | Withdrawn | $19,920.00 | $0.00 | See FINRA Report |
| Lisa Potts Bauer | 4589837 | 1 | 10/07/2009 | Customer Dispute | Withdrawn | $261,411.00 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 04/10/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |