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Cetera Advisors LLC

Cetera Advisors LLC
Cetera Advisors LLC is a broker-dealer with over 1,178 financial professionals The firm's primary clients are Individuals, Charitable Organizations and State or Municipal Government Entities.

Firm Information

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Advisors (1,178)

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Name Start Date
Aaron Michael Pimienta Aug 2011
Aaron Scott Mckinney Sep 2012
Adam John Bailey Jun 2006
Adene Penny Werth Dec 1998
Adrian Robert Temple Jun 2012
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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Not Available
Total Assets
Not Available
Accounts
Not Available
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Cetera Financial Group, Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Stanley Robert Smiley Vice President 02/01/2006
Valerie Gay Brown Director and Chairman 10/01/2009
Barnaby James Grist Director and Vice President 10/01/2010
Cynthia A Hamel Vice President 10/01/2010
Brett Lamar Harrison Director, President and Cheif Executive Officer 10/01/2009

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
4600 S. Syracuse
Denver , CO 80237
Phone Number: 800-929-3485
Other Offices Address City State Zip
816 Tower Park Drive Waterloo IA 50701
10955 Lowell Avenue Overland Park KS 66210
2425 South 144th St, Ste. 201 Omaha NE 68144
6052 Turkey Lake Rd Orlando FL 32819
8050 SW Pfaffle St Portland OR 97223

Firm Compensation Arrangements

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No compensation arrangements listed.