BRAD CAIN

BRAD CAIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1350 S BOULDER AVE STE 300, TULSA, OK, 74119.

BRAD CAIN has worked at CETERA ADVISOR NETWORKS LLC since January 08, 2018

Disclosure History

BRAD CAIN has 4 Disclosure Event(s).

Date: April 05, 2017
Category: Regulatory

Date: April 21, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: WE HAD 2 MORTGAGES AT THE TIME WITH 1 BEING A RENTAL THAT WAS DAMAGED; SO WE HAD TO SPEND MOST OF OUR SAVINGS GETTING IT REPAIRED AND SOLD WHILE ALSO SETTLING WITH CREDITORS TO REDUCE OUR MONTHLY CASH OUTFLOW WHICH ALLOWED US TO GET BACK TO MONTHLY POSITIVE CASH FLOW.

Date: April 20, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: WE HAD 2 MORTGAGES AT THE TIME AND HAD OUR RENTAL HOME DAMAGED WHICH DWINDLED OUR CASH RESERVES AND IRA FUNDS; WE REPAIRED AND SOLD THE RENTAL AS WELL AS SETTLED WITH CREDITORS TO INCREASE OUR MONTHLY CASH FLOW TO GET US BACK ON TRACK TO SATISFY OUR DEBTS EACH MONTH.

Date: April 20, 2010
Category: Financial
Type: Compromise
Disposition: SETTLED PAYMENT AMOUNT
Broker Comment: I HAD MOVED TO THE TYLER AREA, HAD 2 HOUSE PAYMENTS AND HAD RENTERS CAUSE DAMAGE TO MY HOME IN KELLER. WE TOOK OUT A HOME EQUITY LOAN TO CONSOLIDATE AND SETTLE AMOUNTS ON CREDIT CARD.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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