CRD #10299 · FINRA BrokerCheck + SEC IAPD

Cetera Advisors LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cetera Advisors LLC ranks #252 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #1 of 56 on the same disclosure sort used on the state browse page. Cetera Advisors LLC carries 23 BrokerCheck disclosures across 918 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
918
branch offices
23
disclosures
#252 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10299 Cetera Advisors LLC

Cetera Advisors LLC · Grade B · 23 disc · 0.03/office · Large firm

  • CRD 10299
  • GRADE B
  • DISC 23
  • REG 15
  • ARB 7
  • CIV 1
  • BRANCH 918
  • PER-OFF 0.03
  • RANK #252 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Secu Brokerage Services (0.03 disc/office)

Secu Brokerage Services0.03THE Huntington Investme…0.03M Holdings Securities, …0.03Cetera Advisors LLC (this)0.03
Disclosures per office among large firm peers (lower is cleaner)

Cetera Advisors LLC ranks #252 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

918 offices

FINRA: Large firm

Total disclosures

23 events

On FINRA BrokerCheck

Regulatory events

15 actions

65% of all disclosures

Disclosures per office

0.03 per office

23 ÷ 918 offices

Cetera Advisors LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 15
Arbitrations 7
Civil Events 1
Total 23

Counts for Cetera Advisors LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 15 Arbitration 7 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Greenwood Village, CO
CRD Number
10299

Lower disclosures per office

Cetera Advisors LLC in the heavier-disclosure third

Cetera Advisors LLC carries 23 BrokerCheck disclosures across 918 branch offices - a heavier-third raw book among graded firms (#252 of 20,055). Regulator-initiated events are 65% of the book (15 regulatory / 7 arbitration / 1 civil).

Cetera Advisors LLC runs 0.03 disclosures per branch office (cleaner than 94% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Cetera Advisors LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Colorado cohort · 15× state average

Cetera Advisors LLC sits above the Colorado disclosure average

Cetera Advisors LLC reports 23 BrokerCheck disclosures, 15× the Colorado average of 1.5 across 56 graded firms with a principal-office state on file.

In Colorado, 37 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Colorado state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Cetera Advisors LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cetera Advisors LLC ranks #252 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #1 of 56 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Cetera Advisors LLC?
A grade of B reflects Cetera Advisors LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 23 total disclosures across 918 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cetera Advisors LLC have?
Cetera Advisors LLC has 23 total FINRA disclosures, including 15 regulatory events, 7 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cetera Advisors LLC?
Cetera Advisors LLC operates 918 branch offices and is classified by FINRA as a large firm, registered in CO (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Cetera Advisors LLC's disciplinary record?
You can verify Cetera Advisors LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10299. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Cetera Advisors LLC's 23 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cetera Advisors LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Cetera Advisors LLC carries 23 disclosures across 918 branch offices (about 0.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Cetera Advisors LLC, both outside CO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.