KEVIN PATRICK ADAM is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 2415 CARTER LANE SUITE 101, COLUMBIA, MO, 65201.
KEVIN PATRICK ADAM has worked at CETERA ADVISORS LLC since March 23, 2007
Disclosure History
KEVIN PATRICK ADAM has 2 Disclosure Event(s).
Date: October 24, 2006 Category: Customer Dispute Allegations: THE CLIENT, AGE 52, ALLEGED HE DID NOT UNDERSTAND WHAT HE WAS INVETING IN. METLIFE DENIED THE COMPLAINT ON 1/9/07. THE CLIENT SIGNED THE APPLICATION, INCLUDING ALL APPROPRIATE PAPERWORK, AND RECEIVED THE PROSPECTUS ON 6/23/06. ON 10/24/2006 THE CLIENT MADE THE COMPLAINT. ON 1/9/07, METLIFE DENIED THE COMPLAINT. Damage Amount Requested: $27,472.00
Date: July 27, 2006 Category: Customer Dispute Allegations: THE CLIENTS, IN THEIR 40'S, ALLEGED THEY DID NOT UNDERSTAND CERTAIN FEATURES OF THE PRODUCT THEY PURCHASED IN MAY, 2005 WHEN THEY WERE PROVIDED A PROSPECTUS AND SIGNED THE APPROPRIATE PAPERWORK. THE WRITTEN COMPLIANT WAS RECEIVED IN JULY, 2006. IN OCTOBER OF 2006 METLIFE DENIED THE COMPLAINT. Damage Amount Requested: $7,382.35
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 KEVIN PATRICK ADAM, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.