Articles Tagged with Cetera Advisor Networks

Ronald CarsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 28, 2019 indicate that former Nebraska-based Cetera Advisor Networks broker/adviser Ronald Carson, who has received resolved or pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carson (CRD# 1238219).

Ronald Carson has spent 33 years in the securities industry and was most recently registered as a broker with Cetera Advisor Networks in Omaha, Nebraska (2017-2019). Previous registrations include LPL Financial in Omaha, Nebraska (1989-2017); State Bond Sales Corporation (1988-1989); Amev Investors (1987-1988); Securities America (1986-1987); Anchor National Financial Services (1985-1986); and Securities America (1985-1986). HE has been registered as an investment adviser with CWM in Omaha, Nebraska since 2011 and with Carson Group Investing in Omaha, Nebraska since July 2018. He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 27, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1990; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on October 31, 2001; Series 7 (General Securities Representative Examination), which he obtained on December 17, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 12, 1987; Series 22 (Direct Participation Programs Representative Examination), which he obtained on December 18, 1984; and Series 24 (General Securities Principal Examination), which he obtained on September 29, 1992. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one customer complaint that was withdrawn.

Gordon QuanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that former California-based Cetera Advisor Networks broker/adviser Gordon Quan was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Quan (CRD# 1326425).

Gordon Quan has spent 33 years in the securities industry and was most recently registered with Cetera Advisor Networks in Pasadena, California (1994-2018). He was previously registered with Financial Designs Corporation (1985-1994). He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 3, 1987, and Series 22 (Direct Participation Programs Representative Examination), which he obtained on May 9, 1985. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was discharged from his former employer in connection to alleged rule violations.