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Overview

Articles

Holdings

ETF Holdings

Assets

Assets

Last updated on March 31, 2018
    • $15.3B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 68K
      Accounts
    • $224.5K
      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

3,493

name start date
Michael A. Coelho, AIF®
May 2011
Michael B. Keeler, CFP®, CLTC
November 2017
Howard Erman
August 1983
Kenneth B. McEwen, CLU, ChFC
September 2013
Jean Karlo Rocafort Lebron
September 2013

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Associates In Excellence, Inc. -- --
    Cetera Advisor Networks Insurance Services LLC -- --
    Cetera Advisors Insurance Services LLC -- --
    Cetera Advisors LLC Dual Registrant $10,963,478,052
    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 $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
      Timothy Patrick Stone Senior Vice President February, 2017 less than 5%
      Gregory Alan Olson Assistant Secretary July, 2016 less than 5%
      James David Ballard Manager And Vice President July, 2016 less than 5%
      Bryan K Jacobsen Bd Chief Compliance Officer And Secretary April, 2012 less than 5%
      Mark Paul Shelson Treasurer July, 2016 less than 5%
      Thomas Byron Taylor President And Chief Executive Officer February, 2017 less than 5%
      Kristy Marie Haley Advisory Chief Compliance Officer November, 2015 less than 5%
      Adam Nicholas Antoniades Manager May, 2015 less than 5%
      Brett Lamar Harrison Manager May, 2015 less than 5%
      Ramon Ramos Money Laundering Reporting Officer February, 2013 less than 5%
      Stanley Robert Smiley Vice President November, 2007 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

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