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 |
|---|---|---|---|---|---|---|---|---|
| Richard Whitfield Brown | 1595628 | 11 | 04/29/2019 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| James Whitney Story | 2656257 | 5 | 03/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Douglas Richard Wynn | 2465724 | 1 | 01/23/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Eugene Berg | 1218879 | 3 | 01/07/2019 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 01/03/2019 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Sotero M Morales Perez | 5441448 | 5 | 12/10/2018 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Antonio Omar Gonzalez Davila | 2491572 | 6 | 11/26/2018 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Brian Grant Neuhardt | 3120818 | 3 | 10/04/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Edward Burns | 4066393 | 4 | 08/03/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Murray Gardas | 5636149 | 1 | 07/18/2018 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |