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 |
|---|---|---|---|---|---|---|---|---|
| Joel Davis Kamphuis | 1730775 | 5 | 02/05/1997 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Ruth Louise Houseman | 1064260 | 1 | 12/18/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Carlin McCabe | 724176 | 2 | 11/26/1996 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| David Kent Prewette | 1233778 | 1 | 11/18/1996 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| John Joseph Karpinsky | 1745643 | 5 | 07/18/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 04/22/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Louis Shobe | 1134702 | 1 | 04/11/1996 | Customer Dispute | Settled | $400,882.00 | $0.00 | See FINRA Report |
| James Richard Casey | 2183077 | 2 | 03/14/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Timothy Joseph Schwertmann | 1291661 | 1 | 01/03/1996 | Customer Dispute | Settled | $32,800.00 | $0.00 | See FINRA Report |
| Paul Richard Ried | 1522408 | 1 | 11/13/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |