Cetera Advisors LLC

There are Recent Customer Complaints with Broker Sean Manners in Firm Cetera Advisors LLC

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Manners (Manners), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manners 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 $17,353.49 on July 21, 2021.

Client alleges that the fees and costs with the purchase of a variable life insurance policy were not explained to him and his wife prior to purchasing the policy.

There are Recent Customer Complaints with Broker Douglas Filipovits in Firm Cetera Advisors LLC

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 $300,000.00 on September 16, 2021.

Claimant alleges that their registered representative recommended unsuitable, high-risk, and illiquid investments.

There are Recent Customer Complaints with Broker William Benjamin Herritage in Firm Cetera Advisors LLC

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Benjamin Herritage (Herritage), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herritage 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 October 13, 2021.

CUSTOMERS ALLEGE UNSUITABLE RECOMMENDATIONS, MISREPRESENTATIONS, OMISSION OF MATERIAL FACT AND FAILURE TO CONDUCT PROPER DUE DILIGENCE IN REGARDS TO TRANSACTIONS IN A NON-TRADED REIT.

There are Recent Customer Complaints with Broker Dean Cudworth in Firm Cetera Advisors LLC

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Cudworth (Cudworth), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cudworth 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 $11,402.00 on October 25, 2021.

The representative failed to invest the product properly and misrepresentation.

Broker James Mckinney in Cetera Advisors LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mckinney (Mckinney), previously associated with Cetera Advisors LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Mckinney 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 $1,000,000.00 on October 19, 2021.

Claimant alleges unsuitable investment recommendations.

Broker Donna Hines in Cetera Advisors LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 08, 2021.

Without admitting or denying the findings, Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA\\u2019s investigation into whether she facilitated a customer\\u2019s bitcoin investment for compensation. The findings stated that although Hines initially cooperated with FINRA\\u2019s investigation, she eventually ceased doing so.

There are Recent Customer Complaints with Broker Eric Burton in Firm Cetera Advisors LLC

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Burton (Burton), currently associated with Cetera Advisors LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Burton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 23, 2022.

In June 2021, Mr. Burton entered into an AWC with FINRA relating to the sale of certain variable annuities. Solely as a result of that, the State of Florida determined to suspend his insurance license for a three-month period.

Broker Brian Heublein in Cetera Advisors LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.

Client is requesting compensation for option losses in which she alleges the representative provided poor advice.

Broker Brian Heublein in Cetera Advisors LLC Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.

Client is requesting compensation for option losses in which she alleges the representative provided poor advice.

There are Recent Customer Complaints with Broker Stephen Alsdorf in Firm Cetera Advisors LLC

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Alsdorf (Alsdorf), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alsdorf 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 $25,000.00 on March 02, 2022.

Client alleges unsuitability, breach of fiduciary duty, failure to supervise, material omission and negligence.