Cetera Advisors LLC

Broker Brian Thomas in Cetera Advisors LLC Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Thomas (Thomas), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

Broker Matthew Divirgilio in Cetera Advisors LLC Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Divirgilio (Divirgilio), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Divirgilio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $14,000.00 on March 21, 2022.

Claimant alleges they were recommended unsuitable investments.

Broker Scott Oliphant in Cetera Advisors LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $422,000.00 on June 10, 2025.

Sale of Hartman REIT, which is alleged to be a failed product. Claimants allege suitability, breach of contract, violations of standards of commercial honor and principles of trade, use of manipulative or fraudulent device, and respondeat superior.

Broker Steven Hayden in Cetera Advisors LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hayden (Hayden), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hayden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $346,000.00 on July 11, 2022.

Claimants allege that they were recommended to invest in unsuitable alternative investments.

Broker John Gaffney in Cetera Advisors LLC Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gaffney (Gaffney), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gaffney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on July 18, 2022.

SUITABILITY

Broker Kevin Asano in Cetera Advisors LLC Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Asano (Asano), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 09, 2022.

Claimants allege financial adviser recommended unsuitable investments. Claimants further allege causes of action of suitability, misrepresentation, breach of contract and failure to supervise.

There are Recent Customer Complaints with Broker George Kangas in Firm Cetera Advisors LLC

November 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kangas (Kangas), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 12, 2022.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Daniel Mcpherson in Firm Cetera Advisors LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mcpherson (Mcpherson), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on January 04, 2023.

Claimants allege breach of fid. Duty, breach of contract, fraud and negligence by CIS.

There are Recent Customer Complaints with Broker Steven Skipper in Firm Cetera Advisors LLC

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Skipper (Skipper), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skipper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on January 11, 2023.

Customers allege misrepresentation. Activity period 1/1/12 to 1/26/20.

There are Recent Customer Complaints with Broker Scott Oliphant in Firm Cetera Advisors LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on January 20, 2023.

Customer alleged that the sale of a REIT was not suitable and was an over-concentration of assets. In connection with that same transaction, complainant alleged breach of fiduciary duty, breach of contract, negligence, negligent misrepresentation or omission, common law fraud, and negligent supervision.