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ETF Holdings

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



Last updated on Aug. 31, 2017
    • $7.8B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 41K
    • $189.3K
      Estimated Average Account Balance


Firm Services

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

Firm Client types


Current Advisors

# of advisors


name start date
John J Chichester
April 2018
Daniel S. Offutt MBA
July 2001
David C Wilson
May 2007
Joel David Shabsin
March 1998
Jeffrey Seth Cohen
June 2005

    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 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



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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Mark Paul Shelson Treasurer April, 2012 less than 5%
      Stanley Robert Smiley Vice President April, 2012 less than 5%
      Catherine Mccormack Bonneau Vice President October, 2013 less than 5%
      Brett Lamar Harrison Manager, Ceo, President July, 2015 less than 5%
      Adam Nicholas Antoniades Manager January, 2015 less than 5%
      Gregg Alan Ruvoli Vice President May, 2015 less than 5%
      Kristy Marie Haley Chief Compliance Officer November, 2015 less than 5%
      Jon Howard Rothenberg Vice President, Operations, & Secretary April, 2012 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees