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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

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

Assets

Assets

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

2,132

name start date
John J Chichester
April 2018
Daniel S. Offutt MBA
July 2001
Rod Miller, CFP®, CLU, ChFC
August 2012
David C Wilson
May 2007
Joel David Shabsin
March 1998

    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

      Leadership

      Ownership

      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

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees