Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cliftonlarsonallen Wealth Advisors, 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 |
|---|---|---|---|---|---|---|---|---|
| Mark John Fenlon | 1466512 | 1 | 04/12/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher King Moss | 2209534 | 1 | 04/23/2018 | Customer Dispute | Settled | $276,231.00 | $0.00 | See FINRA Report |
| Karen K Wegner | 6410887 | 1 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian David Ream | 2210745 | 2 | 09/05/2008 | Customer Dispute | Denied | $46,169.80 | $0.00 | See FINRA Report |
| Brian David Ream | 2210745 | 2 | 05/29/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Antony Reed Hallada | 2009640 | 1 | 04/20/1999 | Customer Dispute | Closed-No Action | $6,928.05 | $0.00 | See FINRA Report |
| Ian Sylvan | 3201718 | 1 | 08/31/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |