Broker Check

About Cetera Advisor Networks

My independent business model ensures I have the autonomy and discretion to put our clients at the center of all investment strategies and recommendations. Just as I stand behind our clients to help them pursue their financial goals, I have resources that support me and my business. These firms strengthen the resources available to my business which enhances the array of services I offer.

My Broker-Dealer: Cetera Advisor Networks

I am affiliated with Cetera Advisor Networks, one of the premier broker-dealers in the industry. As my broker-dealer, they are responsible for monitoring my activities to ensure that are compliant.  The broker-dealer must undergo regular auditing, and is required to meet specific net capital requirements to ensure it can meet its obligations to our clients.

My affiliation means that I am not held to a sales quota or tied to selling any proprietary products. I have the independence and freedom to recommend the financial solutions that best suit our client's needs, ensuring that their interests are always placed first.

The Parent Company: Cetera Financial Group

Cetera Financial Group is the retail advice platform of RCS Capital Corporation (NYSE: RCAP) that delivers the benefits of scale to its family of independent broker-dealer firms and registered investment advisers while providing a framework that nurtures relationships, unique cultures and unbiased objectivity.

As the second largest independent financial advisor network in the nation by number of advisors and a leading provider of investment programs to financial institutions, Cetera Financial Group provides award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, and innovative technology to its family of broker-dealer firms nationwide.

Through those firms, Cetera Financial Group offers the stability of a large and well-capitalized broker-dealer and registered investment adviser, while serving independent and institutions-based financial advisors in a way that is customized to their individual needs. Cetera Financial Group is committed to helping advisors grow their businesses and strengthen their relationships with their investor clients. All of Cetera Financial Group’s broker-dealer firms are members of FINRA/SIPC.

Our Custodian: Pershing

While Cetera Advisor Networks helps supervise and facilitate services, client assets are held by Pershing LLC.

Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank, and one of the world’s leading providers of securities services. Pershing custodies brokerage accounts for Cetera Advisor Networks, including brokerage accounts with IRAs, and provides related administrative services, including settlement of purchases, tax and account record keeping, monthly statements, confidentiality and data integration.

Like Cetera Advisor Networks, Pershing LLC must meet certain net capital requirements, and is subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of client assets.