Cetera Advisors LLC

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.

Broker Christopher Braccia in Cetera Advisors LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Braccia (Braccia), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braccia 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 $10,000.00 on August 06, 2025.

Claimant generally alleges suitability, misrepresentation, failure to supervise and breach of fiduciary duty.

Broker Stephen Kerutis in Cetera Advisors LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 06, 2025.

Clients alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Luong Pham in Firm Cetera Advisors LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luong Pham (Pham), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham 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 February 27, 2023.

Claimant alleges their financial adviser recommended unsuitable investments that resulted in losses.

Broker Glenn Guilbault in Cetera Advisors LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Claimants allege they were recommended unsuitable investments.

There are Recent Customer Complaints with Broker Kevin Oneill in Firm Cetera Advisors LLC

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 $50,000.00 on March 30, 2023.

Misrepresentation

There are Recent Customer Complaints with Broker Adam Corwin in Firm Cetera Advisors LLC

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2023.

The complainant alleges that, beginning in or around 2019, the rep was involved in a matter where unsuitable recommendations and material misrepresentations were made in relation to annuity products and fraudulent real estate investments, which resulted in financial harm to the complainant.

There are Recent Customer Complaints with Broker Daniel Burkott in Firm Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burkott 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 $489,898.00 on April 03, 2023.

The statement of claim alleges that the representative failed his duty to maintain and enforce adequate supervisory system.