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 |
|---|---|---|---|---|---|---|---|---|
| Chad Duane Anderson | 3168404 | 1 | 10/26/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Martin S Berman | 2406962 | 2 | 10/24/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Derek Guy McLean | 1939560 | 2 | 10/24/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 10/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dave Keith Hutchison | 732974 | 2 | 09/28/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall John Mason | 1758777 | 2 | 07/31/2023 | Customer Dispute | Final | $99,999.00 | $0.00 | See FINRA Report |
| Stephen Kerutis | 2345517 | 7 | 07/26/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Keith Rushing | 6399994 | 2 | 07/23/2023 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |