KEITH RONAN NIELSEN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1512 LAKE AIR DRIVE, SUITE 110, WACO, TX, 76710.
KEITH RONAN NIELSEN has worked at CETERA ADVISOR NETWORKS LLC since November 01, 2017
Disclosure History
KEITH RONAN NIELSEN has 1 Disclosure Event(s).
Date: April 22, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES, THROUGH COUNSEL, THAT FA FAILED TO FOLLOW CLIENT'S INSTRUCTIONS AT ACCOUNT OPENING TO ALLICATE THE PRINCIPAL INVESTMENT IN THE FOLLOWING MANNER: "1/3 IN AN ANNUITY, NO MORE THAN 1/3 EXPOSED TO THE MARKET, AND 1/3 KEPT IN CASH." ALLEGED DAMAGES: ESTIMATED TO EXCEED $5000.00. TIME PERIOD: 8/99 TO PRESENT. Settlement Amount: $30,000.00
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