MICHAEL CHRISTOPHER ASSAD

MICHAEL CHRISTOPHER ASSAD is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 3101 EMRICK BLVD, SUITE 315, BETHLEHEM, PA, 18020.

MICHAEL CHRISTOPHER ASSAD has worked at CETERA ADVISOR NETWORKS LLC since September 03, 2013

Disclosure History

MICHAEL CHRISTOPHER ASSAD has 5 Disclosure Event(s).

Date: November 30, 2016
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: November 28, 2016
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: November 04, 2016
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: October 28, 2016
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: July 26, 2016
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

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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