Broker Check

About Cetera Advisors


Client Centered

Our independent business model ensures we have the autonomy and discretion to put you at the center of all investment strategies and business decisions. Just as we stand behind you to help you pursue your financial dreams, we have teams standing behind us, supporting our business. They also strengthen our relationship with you by providing the resources we need to offer superior service. We'd like you to know more about these organizations and why we’ve chosen to work with them.

Broker-Dealer: Cetera Advisors

Broker-Dealer: Cetera Advisors

We are affiliated with Cetera Advisors, one of the premier broker-dealers in the industry. They are responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing and are required to meet specific net capital requirements to ensure they can meet obligations to investors like you.

However, their support for our relationship goes well beyond executing trades. We have the independence and freedom to recommend the financial solutions that best suit your needs—no sales quotas to fulfill or proprietary products to push—ensuring your objectives are what drive all decisions. Meanwhile, Cetera Advisors’ network of people and resources helps us pursue your unique goals and vision for the future.

Their Organization: Cetera Financial Group

Their Organization: Cetera Financial Group

Cetera Advisors is affiliated with Cetera Financial Group, a prominent network of independently managed broker-dealers. Cetera’s broker-dealers provide award-winning advisory products, sophisticated trading, and technology platforms to our team and other financial professionals throughout all 50 states. You can be confident that their tools, technology, and support enhance our effectiveness in serving you. me and other financial professionals across all 50 states. You can be confident that their tools, technology, and support help make me more effective in serving you.

Our Custodians: Pershing and Cetera Investment Services

Our Custodians: Pershing and Cetera Investment Services

While a broker-dealer helps supervise and facilitate the trading that converts your money into invested assets, those assets are held by a custodian. Cetera Advisors works with Pershing LLC to custody investor assets in brokerage accounts and advisory accounts. Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services.

Either Pershing or Cetera Investment Services LLC serves as the IRA custodian on individual retirement accounts (IRAs), responsible for tax reporting and administering IRAs. Cetera Investment Services is an affiliate of Cetera Advisors, providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Advisors’ clients. Both Pershing and Cetera Investment Services each must meet certain net worth and other requirements to be approved as custodians, and are subject to regular audits, both internally and by independent firms, to maintain those approvals.

Our Most Important Connection: With You

While the organizations supporting our efforts play crucial roles in meeting your needs, the most significant relationship we prioritize is undoubtedly with you. We collaborate with these firms to enhance our ability to serve you effectively. If you would like more information about them, please don’t hesitate to ask. Our goal is to ensure you feel confident and fully informed about how we work with and through these organizations. We are committed to transparency in explaining why we’ve chosen to work with Cetera Advisors and underscore the utmost priority that both Cetera Advisors and our team place on our relationship with you.