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 |
|---|---|---|---|---|---|---|---|---|
| Karlton Lewis Derrick | 1060710 | 5 | 02/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Alberto Meza | 3129046 | 1 | 02/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William E Warnock | 4334008 | 1 | 02/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Daniel Neff | 2487025 | 3 | 01/27/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerard John Nicosia | 4660302 | 1 | 01/20/2021 | Customer Dispute | Settled | $125,001.00 | $0.00 | See FINRA Report |
| Daniel Joseph Lane | 4521546 | 1 | 01/20/2021 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Bergdahl | 1432349 | 1 | 01/19/2021 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Stanley Ira Cooper | 731732 | 1 | 01/19/2021 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 01/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Timothy Driscoll | 846804 | 1 | 01/06/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |