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          Additional Information

          Not BBB accredited

          Cetera Advisor Networks

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          This is a multi-location business.

          Find a Location

          Cetera Advisor Networks has 2 locations, listed below.

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            • Cetera Advisor Networks

              11000 Spain Rd NE Ste E Albuquerque, NM 87111-1895

            • Cetera Advisor Networks

              511 W Reinken Ave Belen, NM 87002-3640

            Location of This Business
            11000 Spain Rd NE Ste E, Albuquerque, NM 87111-1895
            BBB File Opened:
            8/10/2016
            Business Management
            • Mr. Pavlos Panagopoulos
            Contact Information

            Customer Contact

            • Mr. Pavlos Panagopoulos
            Additional Contact Information

            Fax Numbers

            • (505) 872-2998
              Primary Fax
            Business Categories
            Investment Advisory Services

            Alert

            See What BBB Reports On

            Government Action: BBB reports on known government actions involving business’ marketplace conduct:

            United States of America Before the Securities and Exchange Commission In the Matter of Cetera Advisor Networks LLC and Cetera Investment Services LLC

            The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.

            On August 14, 2024 the business entered into an Offer of Settlement with the Securities and Exchange Commission. The Offer of Settlement settles allegations that the business:

             

            -Sent and received off-channel communications on personal devices that were records required to be maintained under the Section 17(a) of the Exchange Act and Rule 17a-4(b)(4) and or Advisers Act and Rule 204-2(a)(7).

            -Failure to reasonably supervise its personnel within the meaning of Section 15(b)(4)(E) of the Exchange Act and Section 203(e)(6) of the Advisers Act.

            Under the terms of the Offer of Settlement, the business agreed to the following sanctions:

            -Cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Exchange Act and Rule 17a-4 thereunder.

            -Cease and desist from committing or causing any violations and any future violations of Section 204 of the Advisers Act and Rule 204-2 thereunder.

            -The business is censured.

            -The business shall pay a civil money penalty in the amount of $4,500,000 to the Securities and Exchange Commission.


            The Offer of Settlement was for settlement purposes only and should not be considered as an admission of guilt or finding violation of the law. For more details go to https://www.sec.gov/newsroom/press-releases/2024-98?utm_medium=email&utm_source=govdelivery.

            Contact Information

            11000 Spain Rd NE Ste E

            Albuquerque, NM 87111-1895

            Visit Website
            (505) 828-4068

            Accreditation

            This business is not BBB Accredited

            BBB Rating

            B+

            Customer Reviews are not used in the calculation of BBB Rating

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