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 |
|---|---|---|---|---|---|---|---|---|
| Richard Whitfield Brown | 1595628 | 11 | 11/22/2023 | Customer Dispute | Settled | $368,803.00 | $0.00 | See FINRA Report |
| David A Shaw | 5337265 | 1 | 11/08/2023 | Customer Dispute | Settled | $99,093.00 | $0.00 | See FINRA Report |
| Brian Lee Freeman | 1379227 | 2 | 11/08/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Stucke | 4840895 | 6 | 10/25/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Casey Brent Walker | 3190125 | 1 | 10/10/2023 | Customer Dispute | Pending | $375,000.00 | $0.00 | See FINRA Report |
| Nicholas C Carter | 5362028 | 1 | 09/26/2023 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Mai Le Nguyen | 2852314 | 1 | 09/20/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary William Holland | 852976 | 6 | 09/05/2023 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Patrick Joseph Groarke | 2213512 | 3 | 08/23/2023 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Bradley Ross Behrendt | 4472928 | 1 | 08/12/2023 | Customer Dispute | Settled | $20,248.00 | $0.00 | See FINRA Report |