Cetera Advisors LLC

Broker Donna Howell in Cetera Advisors LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Howell (Howell), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $117,000.00 on December 30, 2020.

Claimant alleges the recommended investments were misrepresented, unsuitable, and over-concentrated.

Broker Wayne Smith in Cetera Advisors LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Smith (Smith), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 December 30, 2020.

Claimants allege that their registered representative misrepresented and recommended unsuitable investments.

Broker Kevin Fles in Cetera Advisors LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fles (Fles), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fles 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 January 05, 2021.

Claimant alleges their registered representative recommended unsuitable investments

Broker Peter Han in Cetera Advisors LLC Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Han (Han), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 $100,000.01 on January 08, 2026.

Client alleges unsuitable REIT investments.

There are Recent Customer Complaints with Broker Stuart Haw in Firm Cetera Advisors LLC

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Haw (Haw), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Haw 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 $35,000.00 on September 09, 2020.

Customer alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Charles Krsek in Firm Cetera Advisors LLC

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Krsek (Krsek), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krsek 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 $35,000.00 on September 21, 2020.

Customer alleges unsuitable investment recommendations.

Broker Gerald Fasanella in Cetera Advisors LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella 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 December 22, 2020.

Claimants allege that their registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Omar Henry in Firm Cetera Advisors LLC

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Claimant alleges that the registered representative made unsuitable recommendation.

Broker Kenneth Martens in Cetera Advisors LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Thomas Steiner in Firm Cetera Advisors LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Client expresses concern about the amount of trading activity in his accounts and alleges the financial professional did not contact him prior to placing trades from 2012 – 2021.