Individual Firm
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MICHAEL TODD HOGAN
CRD#: 1901482
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 18200 45TH AVE N
STE 100A
PLYMOUTH, MN 55446
STE 100A
PLYMOUTH, MN 55446
CETERA ADVISOR NETWORKS LLCCRD#: 13572 18200 45TH AVE N
STE 100A
PLYMOUTH, MN 55446
STE 100A
PLYMOUTH, MN 55446
View By:
7/7/2017
Customer Dispute
Settled
6/30/1999
Customer Dispute
Settled
6/30/1999
Customer Dispute
Closed-No Action
6/30/1999
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 2/3/2022
B
New York 6/9/2021
B
California 6/9/2021
B
North Carolina 9/7/2021
B
Colorado 6/9/2021
B
North Dakota 6/9/2021
B
Florida 8/9/2021
B
South Carolina 7/7/2024
B
Idaho 6/9/2021
B
South Dakota 6/9/2021
B
Iowa 6/9/2021
B
Texas 6/9/2021
B
Maryland 6/9/2021
IA
Texas 6/29/2023
B
Minnesota 6/9/2021
B
Utah 11/22/2021
IA
Minnesota 6/29/2023
B
Washington 10/11/2023
B
Nevada 6/9/2021
B
Wisconsin 6/9/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 6/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 01/30/2014 - 06/09/2021 | PLYMOUTH, MN | |
B | 05/18/1999 - 06/09/2021 | PLYMOUTH, MN | |
B | 12/06/1994 - 04/16/1999 | OAKDALE, MN | |
B | 01/12/1989 - 12/14/1994 | NEWARK, NJ | |
B | 01/12/1989 - 12/10/1993 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.