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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Leonard Whittingham | 4175525 | 2 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Russell Aiken | 1036253 | 2 | 01/04/2022 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian William Heublein | 714280 | 1 | 12/31/2021 | Customer Dispute | Closed-No Action | $140,000.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 4 | 12/14/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Vandyke | 2776051 | 2 | 12/10/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward C Yoon | 2408137 | 5 | 12/07/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Randall John Mason | 1758777 | 1 | 11/30/2021 | Customer Dispute | Settled | $134,000.00 | $0.00 | See FINRA Report |
| Nathan Paul MacDonald | 2250393 | 2 | 11/30/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |