Who is Cetera Investment Services?

The Right Connections to Stay Focused on You

Just as your advisor stands behind you to help you pursue your financial dreams, he or she has teams and resources to draw upon to support his or her business. These firms also strengthen your relationship with your advisor by providing the resources he or she needs to better serve you.

Broker-Dealer:

Cetera Investment Services

Your advisor is affiliated with Cetera Investment Services, one of the premier broker-dealers in the industry. As the broker-dealer, the firm is responsible for executing trades on your behalf. Like all broker-dealers, Cetera Investment Services is highly regulated and must undergo periodic auditing. They are also required to meet specific net capital requirements to ensure they can meet their obligations to investors like you.

Cetera Investment Services does not have any proprietary products or sales quotas. It is not part of or affiliated with an investment bank, and does not engage in proprietary trading. This independence means your advisor is free to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all recommendations.

Cetera Investment Services not only helps facilitate trading and cash management, they also act as custodian for IRA assets, holding the assets and fulfilling a legal responsibility to safeguard them. In addition, they provide related administrative services on your behalf, including settlement of purchases, tax and account record keeping, monthly statements, confidentiality and data integrity protections, and more.

Parent Company:

Cetera Financial Group

As part of Cetera Financial Group (Cetera), one of the nation’s largest privately held broker-dealer and registered investment adviser families, Cetera Investment Services is able to tap into the financial strength, economies of scale and breadth of expertise Cetera provides. In addition to the Cetera Investment Services home office, Cetera’s network of people and resources helps you and your advisor pursue your unique goals and vision for the future, with the combination of technology, access to products, research, product due diligence and industry insight that can help you make more informed decisions. In addition, they deliver the regulatory supervision, guidance, and training to ensure that your advisor is informed of regulatory changes and requirements—oversight that also helps protect you.

The Benefits of Affiliation

Cetera Investment Services provides the financial products and services you need to implement your financial objectives. Cetera Investment Services’ dedicated staff serves approximately 1,500 advisors representing more than 417,775 accounts nationwide.

Hallmarks of the organization include:

  • Established in 1984
  • Comprised of over 500 employees located at their headquarters in St. Cloud, Minnesota, as well as:
    • Los Angeles, California
    • Atlanta, Georgia
    • Denver, Colorado and
    • Des Moines, Iowa
  • Oversees more than $22 billion of assets under administration
  • Audited annually by the non-affiliated accounting firm of Deloitte & Touche LLP
  • Part of Cetera Financial Group, which serves over 5,000 advisors and 700 financial institutions nationwide through its four broker-dealer firms