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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Richard Farris | 2178521 | 2 | 07/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 07/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian James Megley | 2302308 | 5 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Travis Jerome Hughes | 1532177 | 7 | 07/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William James Obrien | 1075392 | 2 | 06/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Al Elnasser | 2410541 | 7 | 06/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Edward Oliphant | 4551455 | 2 | 05/23/2023 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| David Taylor Hill | 1967778 | 1 | 05/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Jude Corwin | 6650208 | 1 | 04/04/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |