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 |
|---|---|---|---|---|---|---|---|---|
| Daniel James Rickett | 2305063 | 1 | 08/14/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chrismon J Bentley | 1555592 | 1 | 06/24/2013 | Customer Dispute | Denied | $30,400.00 | $0.00 | See FINRA Report |
| Richard Aaron Huppert | 2375483 | 3 | 05/23/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin H O Brien | 2904484 | 1 | 04/23/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Howard Isadore Fleischer | 1056086 | 1 | 03/29/2013 | Customer Dispute | Denied | $287,631.00 | $0.00 | See FINRA Report |
| Timothy Mayo Roscher | 2540584 | 1 | 02/13/2013 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Phillip Edward Curoe | 2660452 | 1 | 01/31/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Patrick McCloskey | 2844851 | 2 | 12/12/2012 | Customer Dispute | Denied | $8,123.31 | $0.00 | See FINRA Report |
| Duane T Garth | 1998639 | 1 | 11/06/2012 | Customer Dispute | Denied | $670,000.00 | $0.00 | See FINRA Report |
| Steven H Degraff | 4649473 | 2 | 11/02/2012 | Customer Dispute | Denied | $11,378.00 | $0.00 | See FINRA Report |