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 |
|---|---|---|---|---|---|---|---|---|
| Amy Jill Kaufman | 1837595 | 7 | 03/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Patrick Pickford | 7087616 | 3 | 03/15/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Murphy Hurtgen | 1742647 | 4 | 03/12/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher B Smith | 4199159 | 5 | 02/20/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lorenzo Bausley | 2608768 | 1 | 10/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond H Bovich | 1501542 | 8 | 09/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcia Marie Callender | 2761692 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |