EMILY DAWN BUEHLER

EMILY DAWN BUEHLER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 10613 E DIFFRACTION AVE, MESA, AZ, 85212.

EMILY DAWN BUEHLER has worked at CETERA ADVISOR NETWORKS LLC since November 02, 2017

Disclosure History

EMILY DAWN BUEHLER has 4 Disclosure Event(s).

Date: August 11, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNAUTHORIZED TRADING REGARDING MUTUAL FUNDS INVESTMENT. ACTIVITY DATES 06/05/2013-06/05/2013.
Damage Amount Requested: $5,000.00

Date: June 20, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 17, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 10, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION AND FAILURE TO DISCLOSE FEES REGARDING VARIABLE ANNUITY INVESTMENT. ACTIVITY DATES 09/12/2011-09/12/2011.
Damage Amount Requested: $8,318.23
Settlement Amount: $8,318.23

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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