“Cetera Financial Group” refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), and Cetera Financial Specialists LLC. All firms are members FINRA/SIPC. Cetera Financial Group is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101.
Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.
Learn more about our firm's background and Investment Professionals on FINRA's BrokerCheck.
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The article you provided is an introduction to the Cetera Financial Group, a network of independent retail firms. Let's break down the concepts mentioned:
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Cetera Financial Group: This refers to a network consisting of independent retail firms, including entities like Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (also marketed as Cetera Financial Institutions or Cetera Investors), and Cetera Financial Specialists LLC.
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Members FINRA/SIPC: This highlights that all the firms within the Cetera Financial Group are members of FINRA (Financial Industry Regulatory Authority) and SIPC (Securities Investor Protection Corporation), which are important regulatory bodies ensuring investor protection and market integrity in the United States.
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Location: The physical address provided - 655 W. Broadway, 11th Floor, San Diego, CA 92101 - is the headquarters or a significant operational office location of the Cetera Financial Group.
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Affiliated Individuals and Services Offered:
- Registered Representatives: They offer brokerage services and receive compensation based on transactions or commissions.
- Investment Adviser Representatives: They provide investment advisory services and earn fees based on assets.
- Some individuals can be both Registered Representatives and Investment Adviser Representatives, allowing them to offer both types of services.
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BrokerCheck: This is a service provided by FINRA that allows investors to research the background of firms and investment professionals to ensure they meet regulatory standards and have a clean history.
This information signifies the structure, regulatory compliance, service offerings, and the approach to compensation within the Cetera Financial Group, providing investors with clarity on the types of services and compensation models available through its affiliated firms.
