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 |
|---|---|---|---|---|---|---|---|---|
| Sotero M Morales Perez | 5441448 | 5 | 05/09/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Serge Suleimani | 3272270 | 2 | 04/01/2016 | Customer Dispute | Settled | $63,700.00 | $0.00 | See FINRA Report |
| Rodney Michael Kramp | 2480011 | 1 | 03/28/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Lief Collins | 2787822 | 4 | 03/23/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lee Cauwels | 1792301 | 6 | 02/18/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeremy Daniel Rawlins | 2997341 | 3 | 02/18/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeong Han Kim | 4406438 | 2 | 02/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lloyd Winkler | 4406481 | 7 | 02/12/2016 | Customer Dispute | Settled | $10,175.00 | $0.00 | See FINRA Report |
| Richard David Blythe | 1000009 | 4 | 01/26/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Christian Helfrich | 2148292 | 4 | 12/11/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |