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Cetera Advisors LLC

Cetera Advisors LLC
Cetera Advisors LLC is a Broker-Dealer with over 1,577 financial professionals registered nationwide. The firm's primary clients are Individuals, Pension and Profit Sharing Plans and High Net Worth Individuals.

Firm Information

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Advisors (1,577)

Name Start Date
David Treece, AIF®, MBA Oct 2011
Daniel "Danny" Chen Jan 2004
Brice Thompson, AWMA, AAMS Oct 2011
Ralph Winn Feb 2006
Brian C. Sheely Jan 2012
*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

$9.2B
Total Assets
43K
Accounts
$215.7K
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

  •   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

Name Title Tenure Date
Stanley Robert Smiley Vice President 02/01/2006
Cynthia A Hamel Vice President 10/01/2010
Bernard Andre Breton Vice President, Chief Compliance Officer and Secretary 05/01/2006
Mark Paul Shelson Chief Financial Officer and Treasurer 02/01/2010
Ami Shah Advisory Chief Compliance Officer 01/01/2014

Affiliated Investment Advisors and Broker Dealers

Name Type Total Assets
Advisor Direct Broker-Dealer
Cetera Advisor Networks LLC Dual Registrant $19,029,027,062
Cetera Financial Specialists LLC Broker-Dealer
Cetera Investment Advisers LLC IAR $7,447,362,333
Cetera Investment Services LLC Broker-Dealer $1,193,288,801
First Allied Advisory Services, Inc. IAR $4,864,088,841
First Allied Asset Management, Inc. IAR $9,018,525
First Allied Securities, Inc. Dual Registrant
Girard Securities, Inc. Dual Registrant $652,412,412
Hatteras Capital Broker-Dealer
Hatteras Funds, LLC IAR $4,364,112,664
Investors Capital Advisory Dual Registrant $1,548,009,410
J P Turner & Company Capital Management, LLC IAR $451,903,775
J.P. Turner & Company, L.L.C. Broker-Dealer
Legend Advisory Corporation IAR $2,350,744,273
Legend Equities Corporation Broker-Dealer
Realty Capital Securities, LLC Broker-Dealer
Sc Distributors, LLC Broker-Dealer
Summit Brokerage Services, Inc. Broker-Dealer
Summit Financial Group Inc IAR $1,592,504,376
Tower Square Investment Management LLC IAR $1,060,638,833
VSR Advisory Services Dual Registrant $3,078,398,632

Principal Office & Place of Business

Principal Office

Address:
4600 S. Syracuse
Denver , CO 80237
Phone Number: 800-929-3485
Other Offices Address City State Zip
P.O. Box 5120 Denver CO 80217
816 Tower Park Drive Waterloo IA 50701
1400 Computer Drive Westborough MA 01581
8050 SW Pfaffle St Portland OR 97223
10955 Lowell Avenue Overland Park KS 66210
3 Times Square New York NY 10036
2425 South 144th St, Ste. 201 Omaha NE 68144
900 Corporate Pointe Culver City CA 90230
4600 South Syracusesuite 600 Denver CO 80237
4600 S. Syracuse Denver CO 80237
4600 S. Syracusesuite 600 Denver CO 80237

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions