About Broker Dealer: Cetera Advisor Networks LLC
We are affiliated with Cetera Advisor Networks LLC, one of the premier broker-dealers in the industry. Like all broker-dealers, they must undergo regular auditing and are required to meet specific net capital requirements to ensure they can meet obligation to investors like you.
Their support goes well beyond executing client trades. Cetera Advisor Networks’ team include experts and resources to give us up-to-date market research, estate planning expertise, and everyday transaction support. Their network of staff work to provide the highest level of service to our business and our clients.
Their Organization: Cetera Financial Group
As the second-largest independent financial advisor network in the nation by number of financial professionals, Cetera Financial Group provides award-winning platforms and services. Cetera offers the stability of a large and well-capitalized broker-dealer while serving financial professionals in a way that’s customized to their individual needs. All of Cetera’s broker-dealers are members of FINRA/SIPC.
Our Custodian: 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 Advisor Networks 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 Advisor Networks, providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Advisor Networks’ 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: YOU
While the organizations behind us play important roles in serving your needs, the most important relationship we have is undoubtedly with you. We work with these firms to make it easier for us to work for you. If you'd like more information about them, please don’t hesitate to ask. We want you to feel confident that you understand, to your satisfaction, how we work with and through these organizations, why we’ve chosen to work with Cetera Advisor Networks, and the absolute priority both Cetera Advisor Networks and our team place on our relationship with you.
