Tag: Cetera
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...
Cetera “Temporarily” Halts Sales of Non-Traded NAV REITs and Interval Funds
Cetera Financial Group, a network of independent broker-dealer firms, has halted sales of certain real estate based alternative investment products, including net asset value...
Cetera Names New Chief Executive Officer
Cetera Financial Group, a network of independent financial advisor firms, has appointed Adam Antoniades as chief executive officer and member of the board of...
SEC Adds Another Cetera Firm to Fraud Complaint
The Securities and Exchange Commission has amended a complaint to add Cetera Advisor Networks LLC, a registered investment adviser and broker-dealer, as a defendant...
SEC: Cetera Investment Advisers to Pay $185,000 for Solicitation Disclosure Violations
Cetera Investment Advisers LLC, a registered investment adviser affiliated with Cetera Financial Group Inc., will pay a penalty of $185,000 to settle SEC charges...
Blucora To Rebrand Wealth Management Division
Blucora, Inc. (NASDAQ: BCOR), a firm focused on wealth management and tax preparation, will rebrand its wealth management business to Avantax Wealth Management.
With the...
Cetera Hires Former FINRA Director as General Counsel
Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has hired former FINRA director David A. Greene...
SEC Charges Cetera Advisors with Defrauding Retail Advisory Clients
The Securities and Exchange Commission has charged Cetera Advisors LLC, a registered investment adviser and broker-dealer based in Denver, Colorado, with breaching its fiduciary...
Summit to Drop Broker-Dealer Status and Join Another Cetera Firm
Summit Brokerage, an independent broker-dealer within the Cetera Financial Group network, is dropping its broker-dealer status and will join another Cetera firm, Cetera Advisor...
