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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Michael David Mathias | 1349406 | 21 | 02/20/2018 | Customer Dispute | Closed-No Action | $100,000.00 | $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 |
| Richard Whitfield Brown | 1595628 | 11 | 11/14/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kim Kerry Love | 1242426 | 2 | 04/04/2017 | Customer Dispute | Closed-No Action | $499,000.00 | $0.00 | See FINRA Report |
| Davin John Bell | 4459699 | 1 | 03/02/2017 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Douglas Allen Becker | 2243437 | 3 | 12/18/2016 | Customer Dispute | Closed-No Action | $4,500,000.00 | $0.00 | See FINRA Report |
| Michael Hannon Kurland | 1104923 | 1 | 07/18/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lee Cauwels | 1792301 | 6 | 07/07/2016 | Customer Dispute | Closed-No Action | $18,158.00 | $0.00 | See FINRA Report |