Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Advisor Networks LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Kelly | 2201407 | 1 | 09/03/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Don Clay Hall | 823983 | 8 | 08/27/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jameel Ejaz Arif | 2158177 | 2 | 05/05/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank James Parker | 356563 | 5 | 09/10/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jonathan Verden Bever | 2603856 | 1 | 08/03/2020 | Customer Dispute | Closed-No Action | $290,000.00 | $0.00 | See FINRA Report |
| John Evan Schooler | 2368308 | 27 | 01/09/2019 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Michael Orange McLain | 329162 | 2 | 07/20/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lee Cauwels | 1792301 | 6 | 03/11/2018 | Customer Dispute | Closed-No Action | $48,095.00 | $0.00 | See FINRA Report |
| Stephen Christopher Pfaff | 2724225 | 1 | 02/20/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 02/20/2018 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |