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Category Cetera Advisors LLC

Former Cetera Financial Advisor, Christopher Kozak, Suspended By FINRA For Allegedly Engaging In Undisclosed Outside Business Activity

November 16, 2019

Christopher Kozak (CRD # 5530806) was a Financial Advisor at Cetera Advisors LLC in Highlands Ranch, CO.  Christopher Kozak has been in the securities industry since 2008 and previously worked at Cambridge Investment Research, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November , 2019, FINRA suspended Christopher…

Former Cetera Financial Advisor, James Gregory McKinney, Investigated By FINRA For Alleged Violation Of FINRA Rules

November 16, 2019

James G. McKinney (CRD # 2100850) was a Financial Advisor at Cetera Advisors LLC in Tulsa, OK.  James McKinney has been in the securities industry since 1991 and previously worked at Securian Financial Services, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 5, 2019, James McKinney was…

Former Cetera Financial Advisor, David Rockwell, Has Two Pending Customer Complaints Disclosed On His CRD Alleging Sales Practice Violations

September 3, 2019

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

Cetera Advisors Financial Advisor, Richard Pittman, Has Three Customer Complaints Alleging Unsuitable Investment Recommendations

July 3, 2019

Richard L. Pittman is a Financial Advisor at Cetera Advisors LLC in Menphis, TN.  Richard Pittman has been in the securities industry since 1997 and previously worked at Investors Capital Corp, Washington Square Securities, Inc. and WMA Securities, Inc.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Richard Pittman has…

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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