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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Emerson Gardner | 217691 | 1 | 08/06/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Andrew Berman | 1054408 | 1 | 05/28/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Wayne Ellsworth | 1488310 | 1 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephan Daniel Winn | 3228543 | 2 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |