Tag: Cetera
Cetera Recruits $300 Million Team from Mass Mutual
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Skafco, a financial planning team that manages approximately $300...
FINRA Bars Ex-Cetera Broker for Stealing Funds to Buy Mutual Fund...
The Financial Industry Regulatory Authority has barred former Cetera Advisors broker, Marianne O'Shee Smith, who was accused of converting $45,100 from three senior customers...
Cetera Advisor Networks Appoints New President
Cetera Financial Group, a network of independent retail firms, has appointed Tim Stinson as president of Cetera Advisor Networks.
Stinson replaces Tom Taylor, who will...
Cetera Recruits More Than $2.4 Billion in New Assets In 3Q21
Cetera Financial Group, a network of independent wealth management firms, has reportedly recruited more than $2.4 billion in new assets in the third quarter...
Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice
Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...
Cetera Recruits $2.4 Billion Texas-Based Team
Cetera Advisors LLC, a wealth management firm within the Cetera network, has recruited Totus Wealth Management, a Texas-based team with $2.4 billion in client...
Cetera Recruits $340 Million Team from LPL Financial
Cetera Financial Group, a network of independent retail firms, has recruited The Advisors LLC, a full-service wealth management practice based in Pennsylvania with $150...
Cetera Buys $490 Million Financial Services Firm
Cetera has purchased MAGIS Financial Partners, a Philadelphia-based financial services firm with more than $490 million in assets under management that operates a separate...
Cetera’s Farpointe Wealth Partners Recruits $190 Million Team
Farpointe Wealth Partners LLC, an independent financial advice firm within the Cetera network, has added Schexnayder Wealth Advisors, a $190 million asset team led...
FINRA Fines Three Cetera Firms for “Supervisory Deficiencies”
The Financial Industry Regulatory Authority has fined three firms within the Cetera network a total of $1 million for failing to supervise certain private...
