Displaying 85 results
Cetera zeroes in on user experience with Riskalyze
The broker-dealer is leveraging its enterprise partnership with Riskalyze to automate risk management and enhance customer experience, which are now available to Cetera’s network of 8,000 advisers via the AdviceWorks platform.
Finra slams Cetera with $1 million fine over RIA supervision
The shortcomings were related to supervision of some dually registered reps, according to the regulator
Indie managing $122 million switches to Cetera from LPL
Pierson Wealth Management is based in Santa Clarita, California
San Diego hybrid managing $250 million returns to LPL
Nautica Wealth Advisors had moved with its OSJ to Cetera for three years
LPL nabs $1 billion hybrid from Cetera
Omaha, Nebraska-based Tagge Rutherford Financial Group has 25 advisers
Team managing $275 million switches to Cetera from SSN
Nestlehut Financial Services is based in Frankfort, Illinois
Cetera Financial tightens its belt on staff compensation: Sources
The network of broker-dealers is said to have frozen merit pay bumps for staff until 2022
Will B-Ds sidestep disaster by cutting real estate investments?
The economy is largely shut down, making it difficult to determine the value of commercial real estate
Cetera loses more top executives
This month alone, five members of the broker-dealer's senior staff have left
Cetera cuts REIT sales, loses senior recruiter
Broker-dealers are pausing the sale of real estate products while the broader market absorbs the shock of the shutdown
Moody’s cites revenue concerns on three large IBDs
LPL, Cetera and Advisor Group are bellwethers for the independent broker-dealer industry
LPL’s tech stack attracts $200 million team from Cetera
The Sacramento duo make up the investment unit of the Sacramento Credit Union
OSJ managing $650 million joins LPL from Cetera
Based in Maitland, Fla., Synergy Wealth Alliance has 15 affiliated advisers
A new playbook for independent broker-dealer M&A
Everyone is up for sale at the right price – and private equity is buying
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
Adam Antoniades promoted to CEO of Cetera
Takes reins from chairman and interim CEO Ben Brigeman.
Cetera Financial Group to offer fee-for-service business model
The network's advisers will be able to offer one-time services or ongoing subscription-style fees.
Cetera Financial Group selling stock to its advisers
New stock and business loan plans are part of a broader outreach to 8,000 advisers.
Cetera Financial plucks new chief financial officer from LPL Financial
A 13-year veteran of LPL, Jeffrey Buchheister was most recently executive vice president and chief accounting officer.
Larry Roth steps down from RCAP board after four months
Four months after joining the board of directors of RCS Capital, the Cetera CEO is stepping down. The company insisted his resignation was not related to a disagreement.
