COREY EVAN SMITH

COREY EVAN SMITH is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1811 TRAYMORE RD S, MINNETONKA, MN, 55305.

COREY EVAN SMITH has worked at CETERA ADVISORS LLC since October 03, 2016

Disclosure History

COREY EVAN SMITH has 3 Disclosure Event(s).

Date: November 14, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $15,441.00
Judgment/Lien Type: Civil
Broker Comment: I HAVE BEEN ADVISED BY LEGAL COUNSEL NOT TO ENGAGE WITH CREDITOR.

Date: December 10, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $27,949.00
Judgment/Lien Type: Civil
Broker Comment: I HAVE BEEN ADVISED BY LEGAL COUNSEL NOT TO ENGAGE WITH CREDITOR.

Date: May 11, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $36,033.00
Judgment/Lien Type: Civil
Broker Comment: I HAVE BEEN ADVISED BY LEGAL COUNCEL NOT TO ENGAGE WITH CREDITOR.

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.

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