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Overview

Holdings

ETF Holdings

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

Assets

Assets

Last updated on March 31, 2018
    • N/A
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • N/A
      Accounts
    • N/A
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

1,040

name start date
Neal A. Deutsch CFP®
January 1995
Brice Thompson, AWMA, AAMS
May 2018
Patrick Edward Thompson
December 2008
Angela Marie Coxton
September 2015
Jennifer Ann Salvato
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 $20,515,461,972
    Cetera Advisors Insurance Services LLC -- --
    Cetera Advisors LLC Dual Registrant $13,550,472,236
    Cetera Financial Specialists LLC Broker-Dealer --
    Cetera Insurance Agency LLC -- --
    Cetera Investment Advisers LLC IAR $7,816,218,055
    Cetera Investment Services LLC Broker-Dealer $0
    Cetera Retirement Plan Specialists -- --
    Fasi Insurance Services -- --
    Fasi of Tx, Inc. -- --
    First Allied Advisory Services, Inc. IAR $4,542,958,875
    Forwardframe LLC IAR $0
    Girard Securities, Inc. Dual Registrant $596,796,627
    Sbs Insurance Agency of Fl, Inc. -- --
    Sbs of California Insurance Agency, Inc. -- --
    Sbsi Insurance Agency of Tx, Inc. -- --
    Summit Brokerage Services, Inc. Broker-Dealer --
    Summit Financial Group Inc IAR $3,799,519,864
    Tower Square Investment Management LLC IAR $0

      Leadership

      Ownership

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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Luanne Marie Graham Ria Chief Compliance Officer February, 2007 less than 5%
      Mark Paul Shelson Treasurer August, 2016 less than 5%
      Shannon Rose Condra Vp August, 2016 less than 5%
      Gregory Alan Olson Asst. Secretary August, 2016 less than 5%
      Stanley Robert Smiley Vp August, 2016 less than 5%
      James David Ballard Officer August, 2016 less than 5%
      Brett Lamar Harrison Director August, 2016 less than 5%
      Santiago Avila Bretado Fin Op/ Chief Financial Officer April, 2016 less than 5%
      Rivers Herrington Regulatory Affairs March, 2015 less than 5%
      Liza Guse Marquardt Trading Principal April, 1997 less than 5%
      Kevin Michael Keefe President May, 2014 less than 5%
      Jesus Manuel Beltran Vp Supervision June, 2013 less than 5%
      Garrett James Merrill Head Of Business Unit August, 2009 less than 5%
      Adam Nicholas Antoniades Director August, 2010 less than 5%
      Jan William Rogers Aml Compliance Officer July, 2006 less than 5%
      Donna Bartlett Chief Compliance Officer January, 1995 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Other