Cetera Financial Group

Firm Profile

Cetera Financial Group (“Cetera”) is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.

KEY CONTACTS
Jon Anderson, (310) 257-7665, jon.anderson@cetera.com

Guy Hocker, (310) 257-7858, Guy.Hocker@cetera.com

WEBSITE
www.Cetera.com

PRIMARY MARKET(S) SERVED
• Micro – (< $1 million) • Small - ($1 million - $10 million) • Mid - ($10 million - $100 million) • Large - ($100 million - $250 million) OPTIONS AVAILABLE
• Preferred Provider Program
• Retirement Sales Desk Representatives
• Business Development Consultants
• 3rd Party Vendor Analysis Tool
• 3rd Party Investment Analysis Tool
• Other Tools
• Benchmarking Tools
• Participant Advice/Participant Services
• CRM/Data Aggregation
• Allows Fiduciary Declaration 3(21)/3(38)
• 408(b)(2) – In-House Or Outsourced
• Plan Design Consulting
• Consulting On SMAs
• Plan Sponsor Fiduciary Training
• Stable Value Analysis
• Minimum Fee Schedules
• In-house TPA, providing plan design consulting, administrative work,
actuarial service, etc.

40 home office employees supporting the retirement business