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 |
|---|---|---|---|---|---|---|---|---|
| Ivanhoe Vincent Ffriend | 1013083 | 4 | 04/28/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Schliesser | 1439219 | 1 | 03/05/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Davis Peterson | 1289733 | 4 | 09/22/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Keith Vanhouten | 1833025 | 5 | 08/18/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Lee Massey | 1298358 | 1 | 07/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gregory Noddings | 2331102 | 1 | 05/26/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Keith Tucker | 2879717 | 3 | 05/21/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Burke Flores | 1064168 | 2 | 05/05/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Baumgartner | 15181 | 2 | 10/30/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Smyth Barker | 1824233 | 2 | 09/12/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |