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Overview

Assets

Assets

Last updated on April 15, 2017
    • $11.0B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 51K
      Accounts
    • $213.8K
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

Advisors

Current Advisors

# of advisors

1,783

name start date
Robert John Cryts
October 2016
Brice Thompson, AWMA, AAMS
October 2011
Daniel "Danny" Chen
January 2004
David Treece, AIF®, MBA
September 2011
Kenneth V. Nelson
October 2016

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Associates In Excellence, Inc. -- --
    Cetera Advisor Networks Insurance Services LLC -- --
    Cetera Advisor Networks LLC Dual Registrant $15,297,813,415
    Cetera Advisors Insurance Services LLC -- --
    Cetera Financial Specialists LLC Broker-Dealer --
    Cetera Investment Advisers LLC IAR $7,816,218,055
    Cetera Investment Services LLC Broker-Dealer $0
    Fasi Insurance Services, Inc. -- --
    Fasi of Tx, Inc. -- --
    First Allied Advisory Services, Inc. IAR $4,542,958,875
    First Allied Retirement Services, Inc. -- --
    First Allied Securities, Inc. Dual Registrant $0
    Forwardframe LLC IAR $0
    Girard Securities, Inc. Dual Registrant $596,796,627
    Sbs Insurance Services of Fl, Inc -- --
    Sbs of California Insurance Agency, Inc -- --
    Summit Brokerage Services, Inc. Broker-Dealer --
    Summit Financial Group Inc IAR $1,670,873,833
    Tower Square Investment Management LLC IAR $173,323,412

      Leadership

      Ownership

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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Gregory Alan Olson Assistant Secretary July, 2016 less than 5%
      James David Ballard Vice President July, 2016 less than 5%
      Mark Paul Shelson Treasurer July, 2016 less than 5%
      Bernard Andre Breton Vice President, Bd Chief Compliance Officer And Secretary May, 2006 less than 5%
      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%
      Brett Lamar Harrison Manager And Cheif Executive Officer October, 2009 less than 5%
      Ramon Ramos Money Laundering Reporting Officer February, 2013 less than 5%
      Stanley Robert Smiley Vice President February, 2006 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

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