Broker Check

Our Broker - Dealer - Cetera Advisor Networks LLC.

We are affiliated with Cetera Advisor Networks LLC, one of the premier broker-dealers in the business today and one of the five broker-dealer groups under the Cetera Financial Group umbrella.  As a broker-dealer, Cetera is responsible for executing investment related trades for client accounts.  Like all broker-dealers, the firm must undergo regular audits and maintain specific net capital requirements to ensure it can meet its obligations to investors like you.  Cetera does not manufacture investment products or have proprietary products for sale to clients.

The Parent Firm - Cetera Financial Group

As the second-largest independent financial advisor network in the country by number of financial professionals and a leading provider of investment programs to financial institutions, Cetera Financial Group provides award-winning wealth management and advisory platforms, comprehensive broker-dealer and advisory services along with innovative technology to its nationwide network of broker-dealers.  The firm supports more than 8,000 independent and institutional financial professionals, including solo practitioners, teams, and ensemble organizations.  Genstar Capital assumed majority ownership of Cetera and its broker-dealer network in 2018.  The firm has a track record of helping companies accelerate growth, much like how Cetera partners with financial professionals in firms like ours to help them expand their services and grow their business.  All of Cetera Financial Group’s broker-dealer firms are members of FINRA/SIPC.

Our Custodian - Pershing, LLC.

Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank, and one of the world’s leading providers of securities services.  The firm holds or “custodies” the assets in brokerage accounts for Cetera Advisor Networks LLC, as well as many other broker-dealers worldwide.  Pershing LLC also provides account related administrative services including settlement of trades, tax and account record keeping, online account access, monthly statements, and data integration.  The firm must also meet strict net capital requirements and is subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation, and protection of investor’s assets.