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Category Cetera Advisors LLC

Former Cetera Advisors Broker, Scott Kozak, Suspended By FINRA For Two Years, For Allegedly Engaging In Private Securities Transactions

March 22, 2020

Scott Kozak (CRD # 1272583) was a Financial Advisor at Cetera Advisors in Highlands Ranch, Colorado. Scott Kozak has been in the securities industry since 1989 and previously worked for Financial West Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2020, FINRA sanctioned Scott Kozak, suspending…

Former Ceteral Advisors Network Broker, David Aaron Rockwell, Barred By FINRA For Failing To Respond To FINRA Request For Information

February 27, 2020

David Aaron Rockwell (CRD # 4236377) was a Financial Advisor at Cetera Advisor Networks LLC in Fort Myers, FL.  David Rockwell has been in the securities industry since since 2000 and previously worked at SunTrust Investment Services, Inc., Fifth Third Securities, Inc. and Comerica Securities. According to publicly available records released by the Financial Industry…

Cetera Advisor Networks Broker, Victor Rigoni, Has Six Disclosed Customer Complaints, Including Two Pending And Three Settled Complaints

February 6, 2020

Victor A. Rigoni III (CRD # 4272056) is a Financial Advisor at Cetera Advisor Networks LLC in Lake Forest, IL. Victor Rigoni has been in the securities industry since since 2000 and previously worked at Summit Brokerage Services, Inc, Cambridge Investment Research, Inc. and Edward Jones. According to publicly available records released by the Financial…

Former Cetera Advisors Broker, Stephen Carver, Barred By FINRA

January 19, 2020

Stephen Carver (CRD # 2230161) was a Financial Advisor at Cetera Advisors and Lifemark Securities in Peoria, Illinois.  Stephen Carver has been in the securities industry since since 1992 and previously worked for Brewer Financial Services and LPL Financial Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis