CHRIS SMITH is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 620 NORTH KIMBALL AVENUE, SUITE 110, SOUTHLIAKE, TX, 76092.

CHRIS SMITH has worked at CETERA ADVISOR NETWORKS LLC since January 17, 2017

Disclosure History

CHRIS SMITH has 1 Disclosure Event(s).

Date: January 07, 1990
Category: Criminal
Charges: Theft by check
Disposition: Dismissed

More Information

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 CHRIS SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.