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 Murphy Hurtgen | 1742647 | 4 | 03/12/2018 | Regulatory | 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 |
| Brion Patrick Harris | 3199095 | 9 | 05/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Cain | 3028601 | 1 | 04/05/2017 | Regulatory | 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 |
| Kristopher B Smith | 4199159 | 5 | 11/22/2016 | Regulatory | 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 |
| Donald Patrick Pickford | 7087616 | 3 | 07/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher B Smith | 4199159 | 5 | 02/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Jeremy Hallberg | 6111972 | 3 | 12/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |