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Last updated on Sept. 14, 2016
    • $9.4B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 47K
    • $199.0K
      Estimated Average Account Balance


Firm Services

  • Financial Planning

  • Pension Consulting

Firm Client types


Current Advisors

# of advisors


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

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Associates In Excellence, Inc. -- --
    Bdca Adviser, LLC IAR $2,530,360,176
    Cetera Advisor Networks Insurance Services LLC -- --
    Cetera Advisor Networks LLC Dual Registrant $16,790,789,838
    Cetera Advisors Insurance Services LLC -- --
    Cetera Financial Specialists LLC Broker-Dealer --
    Cetera Insurance Agency LLC -- --
    Cetera Investment Advisers LLC IAR $7,010,067,264
    Cetera Investment Services LLC Broker-Dealer $0
    Fasi Insurance Services, Inc. -- --
    Fasi of Tx, Inc. -- --
    First Allied Advisory Services, Inc. IAR $4,440,364,740
    First Allied Retirement Services, Inc. -- --
    First Allied Securities, Inc. Broker-Dealer $0
    Girard Securities, Inc. Dual Registrant $646,365,737
    Investors Capital Advisory Dual Registrant $1,571,308,282
    Lec Insurance Agency, Inc. -- --
    Legend Advisory Corporation IAR $2,105,390,903
    Legend Equities Corporation Broker-Dealer --
    National Fund Advisors, LLC IAR $71,658,773
    Summit Brokerage Services, Inc. Broker-Dealer --
    Summit Financial Group Inc IAR $1,670,873,833
    Tower Square Investment Management LLC IAR $4,396,712,121
    VSR Advisory Services Dual Registrant $3,101,311,823



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

      Executives and Control Persons

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


        Types of Compensation Arrangements

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