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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Joseph Groarke | 2213512 | 3 | 02/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Hearns | 241117 | 3 | 01/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Assad | 4651897 | 5 | 11/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Assad | 4651897 | 5 | 11/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher B Smith | 4199159 | 5 | 11/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Assad | 4651897 | 5 | 11/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Assad | 4651897 | 5 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Albert James Minutola | 1521357 | 4 | 10/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Lincoln | 1803278 | 2 | 09/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |