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 |
|---|---|---|---|---|---|---|---|---|
| William Abe Frankenstein | 1027453 | 5 | 12/20/1990 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Fredrick Thomas Wollman | 719555 | 5 | 04/27/1990 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Timothy Charles Negro | 1280424 | 4 | 02/21/1990 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| David Allen Jaffa | 256796 | 4 | 08/31/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Richard Secord | 417775 | 1 | 06/01/1989 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Harold Francis Puhl | 1045552 | 5 | 10/01/1988 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Douglas James Propeck | 1470266 | 2 | 04/13/1988 | Customer Dispute | Settled | $418,000.00 | $0.00 | See FINRA Report |
| Rodney Clarke Jones | 1111094 | 3 | 03/03/1988 | Customer Dispute | Settled | $95,398.20 | $0.00 | See FINRA Report |
| Rodney Clarke Jones | 1111094 | 3 | 02/19/1988 | Customer Dispute | Settled | $89,803.00 | $0.00 | See FINRA Report |
| James Hardin Shoemaker | 422451 | 2 | 02/25/1986 | Customer Dispute | Settled | $40,500.00 | $0.00 | See FINRA Report |