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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for BRAD CAIN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More