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 |
|---|---|---|---|---|---|---|---|---|
| Peter William Pace | 2028671 | 1 | 12/06/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| James Francis Sirek | 5659487 | 2 | 12/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brion Patrick Harris | 3199095 | 9 | 11/27/2023 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Richard Robert McCloskey | 325602 | 1 | 11/27/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Whitfield Brown | 1595628 | 11 | 11/22/2023 | Customer Dispute | Settled | $368,803.00 | $0.00 | See FINRA Report |
| Brian Joseph Kelly | 2201407 | 2 | 11/21/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Gregory Hobbs | 5092184 | 2 | 11/14/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Shaw | 5337265 | 1 | 11/08/2023 | Customer Dispute | Settled | $99,093.00 | $0.00 | See FINRA Report |
| Brian Lee Freeman | 1379227 | 2 | 11/08/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Christian Helfrich | 2148292 | 4 | 10/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |