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ETF Holdings

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



Last updated on May 9, 2019
    • $10.3B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 55K
    • $188.0K
      Estimated Average Account Balance


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.


Current Advisors

# of advisors


name start date
Daniel S. Offutt MBA
July 2001
John J Chichester
April 2018
David C Wilson
May 2007
Terrence Stuart Bridgewater
January 2003
David Alan Scotch
August 2008

    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 $18,099,125,377
    Cetera Advisors Insurance Services LLC -- --
    Cetera Advisors LLC Dual Registrant $12,246,297,195
    Cetera Advisory Services LLC -- --
    Cetera Financial Specialists LLC Broker-Dealer --
    Cetera Investment Management LLC -- --
    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. -- --
    Sbs Insurance Services of Fl, Inc -- --
    Sbs of California Insurance Agency, Inc -- --
    Summit Brokerage Services, Inc. Broker-Dealer --
    Summit Financial Group Inc IAR $2,889,596,331



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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Leann Renee Rummel Vice President September, 2017 less than 5%
      Jon Howard Rothenberg Vice President, Operations, & Secretary April, 2012 less than 5%
      Kristy Marie Haley Chief Compliance Officer November, 2015 less than 5%
      Gregg Alan Ruvoli Vice President May, 2015 less than 5%
      Adam Nicholas Antoniades Manager January, 2015 less than 5%
      Brett Lamar Harrison Manager, Ceo, President July, 2015 less than 5%
      Catherine Mccormack Bonneau Vice President October, 2013 less than 5%
      Stanley Robert Smiley Vice President April, 2012 less than 5%
      Mark Paul Shelson Treasurer April, 2012 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees