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ETF Holdings

There is no ETF holding data from this firm to display at this time.



Last updated on Jan. 7, 2016
    • $9.2B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 43K
    • $215.7K
      Estimated Average Account Balance


Firm Services

  • Financial Planning

  • Pension Consulting

Firm Client types


Current Advisors

# of advisors


name start date
Brice Thompson, AWMA, AAMS
October 2011
Brian C. Sheely
January 2012
David Treece, AIF®, MBA
October 2011
Ralph Winn
February 2006
Daniel "Danny" Chen
January 2004

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Advisor Direct Broker-Dealer --
    Associates In Excellence, Inc. -- --
    Bdca Adviser, LLC IAR $2,000,000,000
    Cetera Advisor Networks Insurance Services LLC -- --
    Cetera Advisor Networks LLC Dual Registrant $19,029,027,062
    Cetera Advisors Insurance Services LLC -- --
    Cetera Financial Specialists LLC Broker-Dealer --
    Cetera Insurance Agency LLC -- --
    Cetera Investment Advisers LLC IAR $7,447,362,333
    Cetera Investment Services LLC Broker-Dealer $0
    Fasi Insurance Services, Inc. -- --
    Fasi of Tx, Inc. -- --
    First Allied Advisory Services, Inc. IAR $4,864,088,841
    First Allied Retirement Services, Inc. -- --
    First Allied Securities, Inc. Dual Registrant --
    Girard Securities, Inc. Dual Registrant $652,412,412
    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 --
    Lec Insurance Agency, Inc. -- --
    Legend Advisory Corporation IAR $2,350,744,273
    Legend Equities Corporation Broker-Dealer --
    National Fund Advisors, LLC IAR $98,700,000
    Realty Capital Securities, 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 $3,043,207,786



      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Kristy Marie Haley Advisory Chief Compliance Officer November, 2015 less than 5%
      Adam Nicholas Antoniades Manager May, 2015 less than 5%
      Erinn June Ford Manager And President May, 2015 less than 5%
      Bernard Andre Breton Vice President, Chief Compliance Officer And Secretary May, 2006 less than 5%
      Brett Lamar Harrison Manager And Cheif Executive Officer October, 2009 less than 5%
      Ramon Ramos Money Laundering Reporting Officer February, 2013 less than 5%
      Cynthia A Hamel Vice President October, 2010 less than 5%
      Mark Paul Shelson Chief Financial Officer And Treasurer February, 2010 less than 5%
      Stanley Robert Smiley Vice President February, 2006 less than 5%
        Source: SEC


        Types of Compensation Arrangements

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