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 |
|---|---|---|---|---|---|---|---|---|
| Clifford Ray Warden | 3129139 | 2 | 12/10/2003 | Customer Dispute | Settled | $62,029.80 | $0.00 | See FINRA Report |
| Charles Wayne Mobley | 1365880 | 1 | 12/03/2003 | Customer Dispute | Settled | $17,504.90 | $0.00 | See FINRA Report |
| John Gregory Keller | 1708243 | 5 | 10/30/2003 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Donato Guiseppi Lupacchino | 1183782 | 3 | 07/23/2003 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 07/21/2003 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 07/17/2003 | Customer Dispute | Settled | $15,142.00 | $0.00 | See FINRA Report |
| Robert Joe Holdford | 1672884 | 2 | 07/14/2003 | Customer Dispute | Settled | $155,000.00 | $0.00 | See FINRA Report |
| Richard Bruno Casolari | 42779 | 4 | 07/02/2003 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |
| Ivanhoe Vincent Ffriend | 1013083 | 4 | 06/27/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Sebastian Liotta | 2473513 | 1 | 06/18/2003 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |