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Cetera Bolsters Legal Team in Service of Its Financial Advisers

Cetera Bolsters Legal Team in Service of Its Financial Advisers. Cetera, financial services, hire, regulatory, financial advisers, legal

Cetera Financial Group recently expanded its legal team, made internal promotions, and restructured its department. With the growth and changes, Cetera says it is committed to serving advisers with industry-best legal resources in an increasing regulatory environment.

“In today’s increasing regulatory environment, we are committed to delivering the best legal service possible to help Cetera and our advisers achieve their collective goals,” said Lisa Gok, chief legal officer at Cetera.

The changes include the following.

  • Scott Kirwin joins Cetera as deputy general counsel. He will focus on retirement and collaborate with multiple internal teams, including mergers and acquisition integration, advisory products, and platforms. Kirwin comes to Cetera with an extensive background in investments and brokerage firms, having spent more than 15 years in the legal department at Fidelity Investments. Kirwin attended Harvard Law School and holds a bachelor’s degree in political science and history from Northeastern University.
  • Jeremy Carr has been promoted to the role of deputy general counsel. In this new role, he joins the legal leadership team and will expand his business support leadership to cover multiple departments firm wide. Carr joined Cetera’s legal department in 2016 and previously served as senior counsel and chief counsel. He attended UCLA School of Law and holds a bachelor’s degree in history from University of California, Berkeley.
  • Winnie Lee is deputy general counsel and will lead mergers and acquisition efforts and special projects while overseeing an experienced team of transactional attorneys. Lee joined Cetera’s legal department in 2021 after serving as deputy general counsel for Fir Tree Partners, a New York-based private investment firm that invests worldwide in public and private companies, real estate, and sovereign debt. Lee attended Brooklyn Law School and holds a bachelor’s degree from University at Buffalo.
  • Mark Quinn, Cetera’s head of regulatory affairs since 2015, transitioned to the legal team from Cetera’s risk department. Quinn is Cetera’s primary representative for outreach to regulatory agencies and legislative bodies regarding development of law and policy and has more than 40 years of legal experience. He previously served as chief risk officer for First Allied Securities and holds an MBA and Doctor of Law (J.D.) from University of Denver.

 

“With these new appointments, I am confident that Cetera’s legal department represents a powerful team that is comprised of the industry’s best and brightest legal minds. I am pleased to welcome these talented individuals to the team, where their contributions will be critical to Cetera’s continued success growing and serving our financial professionals,” added Gok.

Cetera Financial Group serves more than 12,000 independent financial professionals and their teams, including tax professionals, banks, and credit unions in providing financial planning and wealth management services. Cetera oversees more than $475 billion in assets under administration and $190 billion in assets under management, as of Dec. 20, 2023.

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