CETERA INVESTMENT ADVISERS

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Cetera Investment Advisers is based out of Schaumburg. Cetera Investment Advisers is a large advisory firm with 54906 clients and discretionary assets under management (AUM) of $8,686,113,799 (Form ADV from 2018-02-01). Their last reported 13F filing for Q3 2019 included $822,889,000 in managed 13F securities and a top 10 holdings concentration of 19.42%. Cetera Investment Advisers's largest holding is Vanguard Growth ETF with shares held of 148,385. Cetera Investment Advisers has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 17 13F filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $822.889 Million
  • Prior Market Value $775.568 Million
  • New Purchases51 stocks
  • Additional Purchases301 stocks
  • Sold out of37 stocks
  • Reduced holdings in157 stocks
  • Top 10 Holdings % 19.42 %
  • Turnover % [1]:16.42%
  • Turnover Alt % [2]: 9.50 %
  • Time Held Top20:10.30 quarters
  • Time Held Top10:10.20 quarters
  • Time Held All:8.87 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.85%
Performance Last 4 Quarters: 17.23%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CETERA INVESTMENT ADVISERS LLC
200 NORTH MARTINGALE ROAD
SCHAUMBURG IL    60173-2096
Country: United States

Business Phone: 888-528-2987
Fax: 847-330-7912
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 2072
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 3,944,610,000
Total Number of Clients: 54906
Amount of client funds and securities by related persons: 3,944,610,000
Total Number of clients from related persons: 22079
Disclosures: 11.B (1),11.B (2),11.D (2),11.D (4),11.G
Data above was derived from SEC filings.

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CETERA INVESTMENT ADVISERS LLC

ownership team - last updated 2019-08-27
Name Title Start Date Direct/Indirect % Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER direct 1998-06-01
GENWORTH FINANCIAL PLANNING CORPORATION SHAREHOLDER COMMON direct 2004-10-01
CETERA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2012-11-01
TERRA FINANCIAL PLANNING GROUP LTD OWNER direct 1998-06-01 2003-03-31
TERRA FINANCIAL PLANNING GROUP LTD SHAREHOLDER COMMON indirect 2003-12-01 2004-09-29
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER COMMON direct 1998-06-01 2012-11-15
SHELSON, MARK, PAUL TREASURER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
ROTHENBERG, JON, HOWARD VICE PRESIDENT, OPERATIONS, & SECRETARY 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT, OPERATIONS, & SECRETARY direct 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION VICE PRESIDENT, OPERATIONS direct 2012-04-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
BONNEAU, CATHERINE, MCCORMACK VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF OPERATING OFFICER, VICE PRESIDENT direct 2005-12-01
CETERA INVESTMENT SERVICES LLC PRESIDENT, CEO, MANAGER direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, COO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR AND COO direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, COO AND DIRECTOR direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT, COO AND CEO direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT AND COO direct 2005-12-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-10-01
HARRISON, BRETT, LAMAR MANAGER, CEO, PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
RUVOLI, GREGG, ALAN VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENWORTH FINANCIAL ADVISERS CORPORATION SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2009-09-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
HALEY, KRISTY, MARIE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA ADVISOR NETWORKS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA INVESTMENT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
FPC SERVICES, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2005-06-01
FORWARDFRAME LLC CHIEF COMPLIANCE OFFICER/ SECRETARY direct 2016-06-01
RUMMEL, LEANN, RENEE VICE PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1995-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1998-02-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2017-09-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. VP direct 1998-02-01 2007-03-29
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/NATIONAL SALES DIRECTOR direct 1998-02-01 2009-04-20
NEARY, JOSEPH, DANIEL MANAGER/DIRECTOR 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2013-01-01
FSC SECURITIES CORPORATION CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
FSC SECURITIES CORPORATION CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
SAGEPOINT FINANCIAL, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
SAGEPOINT FINANCIAL, INC. CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
VISION2020 WEALTH MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2010-05-01
CETERA FINANCIAL GROUP, INC. SOLE MEMBER CETERA FINANCIAL SPECIALISTS SERVICES LLC 04/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISORS LLC SOLE MEMBER direct 2010-12-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER, 100% OF COMMON STOCK direct 2010-12-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK direct 2010-01-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER direct 2010-01-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2012-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 11/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2009-11-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2009-11-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2009-10-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

CETERA INVESTMENT ADVISERS LLC

ownership team - last updated 2019-06-27
Name Title Start Date Direct/Indirect % Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER direct 1998-06-01
GENWORTH FINANCIAL PLANNING CORPORATION SHAREHOLDER COMMON direct 2004-10-01
CETERA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2012-11-01
TERRA FINANCIAL PLANNING GROUP LTD OWNER direct 1998-06-01 2003-03-31
TERRA FINANCIAL PLANNING GROUP LTD SHAREHOLDER COMMON indirect 2003-12-01 2004-09-29
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER COMMON direct 1998-06-01 2012-11-15
SHELSON, MARK, PAUL TREASURER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
ROTHENBERG, JON, HOWARD VICE PRESIDENT, OPERATIONS, & SECRETARY 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT, OPERATIONS, & SECRETARY direct 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION VICE PRESIDENT, OPERATIONS direct 2012-04-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
BONNEAU, CATHERINE, MCCORMACK VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF OPERATING OFFICER, VICE PRESIDENT direct 2005-12-01
CETERA INVESTMENT SERVICES LLC PRESIDENT, CEO, MANAGER direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, COO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR AND COO direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, COO AND DIRECTOR direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT, COO AND CEO direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT AND COO direct 2005-12-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-10-01
HARRISON, BRETT, LAMAR MANAGER, CEO, PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
ANTONIADES, ADAM, NICHOLAS MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
RUVOLI, GREGG, ALAN VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENWORTH FINANCIAL ADVISERS CORPORATION SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2009-09-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
HALEY, KRISTY, MARIE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA ADVISOR NETWORKS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA INVESTMENT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
FPC SERVICES, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2005-06-01
FORWARDFRAME LLC CHIEF COMPLIANCE OFFICER/ SECRETARY direct 2016-06-01
RUMMEL, LEANN, RENEE VICE PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1995-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1998-02-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2017-09-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. VP direct 1998-02-01 2007-03-29
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/NATIONAL SALES DIRECTOR direct 1998-02-01 2009-04-20
CETERA FINANCIAL GROUP, INC. SOLE MEMBER CETERA FINANCIAL SPECIALISTS SERVICES LLC 04/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISORS LLC SOLE MEMBER direct 2010-12-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER, 100% OF COMMON STOCK direct 2010-12-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK direct 2010-01-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER direct 2010-01-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2012-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 11/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2009-11-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2009-11-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2009-10-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

CETERA INVESTMENT ADVISERS LLC

ownership team - last updated 2019-03-14
Name Title Start Date Direct/Indirect % Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER direct 1998-06-01
GENWORTH FINANCIAL PLANNING CORPORATION SHAREHOLDER COMMON direct 2004-10-01
CETERA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2012-11-01
TERRA FINANCIAL PLANNING GROUP LTD OWNER direct 1998-06-01 2003-03-31
TERRA FINANCIAL PLANNING GROUP LTD SHAREHOLDER COMMON indirect 2003-12-01 2004-09-29
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER COMMON direct 1998-06-01 2012-11-15
SHELSON, MARK, PAUL TREASURER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
ROTHENBERG, JON, HOWARD VICE PRESIDENT, OPERATIONS, & SECRETARY 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT, OPERATIONS, & SECRETARY direct 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION VICE PRESIDENT, OPERATIONS direct 2012-04-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
BONNEAU, CATHERINE, MCCORMACK VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF OPERATING OFFICER, VICE PRESIDENT direct 2005-12-01
CETERA INVESTMENT SERVICES LLC PRESIDENT, CEO, MANAGER direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, COO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR AND COO direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, COO AND DIRECTOR direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT, COO AND CEO direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT AND COO direct 2005-12-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-10-01
HARRISON, BRETT, LAMAR MANAGER, CEO, PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
RUMMEL, LEANN, RENEE VICE PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1995-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1998-02-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2017-09-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. VP direct 1998-02-01 2007-03-29
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/NATIONAL SALES DIRECTOR direct 1998-02-01 2009-04-20
ANTONIADES, ADAM, NICHOLAS MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
RUVOLI, GREGG, ALAN VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENWORTH FINANCIAL ADVISERS CORPORATION SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2009-09-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
HALEY, KRISTY, MARIE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA ADVISOR NETWORKS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA INVESTMENT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
FPC SERVICES, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2005-06-01
FORWARDFRAME LLC CHIEF COMPLIANCE OFFICER/ SECRETARY direct 2016-06-01
CETERA FINANCIAL GROUP, INC. SOLE MEMBER CETERA FINANCIAL SPECIALISTS SERVICES LLC 04/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISORS LLC SOLE MEMBER direct 2010-12-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER, 100% OF COMMON STOCK direct 2010-12-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK direct 2010-01-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER direct 2010-01-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2012-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 11/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2009-11-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2009-11-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2009-10-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

CETERA INVESTMENT ADVISERS LLC

ownership team - last updated 2018-12-13
Name Title Start Date Direct/Indirect % Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER direct 1998-06-01
GENWORTH FINANCIAL PLANNING CORPORATION SHAREHOLDER COMMON direct 2004-10-01
CETERA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2012-11-01
TERRA FINANCIAL PLANNING GROUP LTD OWNER direct 1998-06-01 2003-03-31
TERRA FINANCIAL PLANNING GROUP LTD SHAREHOLDER COMMON indirect 2003-12-01 2004-09-29
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER COMMON direct 1998-06-01 2012-11-15
SHELSON, MARK, PAUL TREASURER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
ROTHENBERG, JON, HOWARD VICE PRESIDENT, OPERATIONS, & SECRETARY 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT, OPERATIONS, & SECRETARY direct 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION VICE PRESIDENT, OPERATIONS direct 2012-04-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
BONNEAU, CATHERINE, MCCORMACK VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF OPERATING OFFICER, VICE PRESIDENT direct 2005-12-01
CETERA INVESTMENT SERVICES LLC PRESIDENT, CEO, MANAGER direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, COO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR AND COO direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, COO AND DIRECTOR direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT, COO AND CEO direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT AND COO direct 2005-12-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-10-01
HARRISON, BRETT, LAMAR MANAGER, CEO, PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
ANTONIADES, ADAM, NICHOLAS MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
RUVOLI, GREGG, ALAN VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENWORTH FINANCIAL ADVISERS CORPORATION SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2009-09-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
HALEY, KRISTY, MARIE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA ADVISOR NETWORKS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA INVESTMENT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
FPC SERVICES, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2005-06-01
FORWARDFRAME LLC CHIEF COMPLIANCE OFFICER/ SECRETARY direct 2016-06-01
RUMMEL, LEANN, RENEE VICE PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1995-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1998-02-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2017-09-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. VP direct 1998-02-01 2007-03-29
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/NATIONAL SALES DIRECTOR direct 1998-02-01 2009-04-20
CETERA FINANCIAL GROUP, INC. SOLE MEMBER CETERA FINANCIAL SPECIALISTS SERVICES LLC 04/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISORS LLC SOLE MEMBER direct 2010-12-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER, 100% OF COMMON STOCK direct 2010-12-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK direct 2010-01-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER direct 2010-01-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2012-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 11/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2009-11-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2009-11-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2009-10-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

CETERA INVESTMENT ADVISERS LLC

ownership team - last updated 2018-06-22
Name Title Start Date Direct/Indirect % Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER direct 1998-06-01
GENWORTH FINANCIAL PLANNING CORPORATION SHAREHOLDER COMMON direct 2004-10-01
CETERA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2012-11-01
TERRA FINANCIAL PLANNING GROUP LTD OWNER direct 1998-06-01 2003-03-31
TERRA FINANCIAL PLANNING GROUP LTD SHAREHOLDER COMMON indirect 2003-12-01 2004-09-29
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER COMMON direct 1998-06-01 2012-11-15
SHELSON, MARK, PAUL TREASURER 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
ROTHENBERG, JON, HOWARD VICE PRESIDENT, OPERATIONS, & SECRETARY 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT, OPERATIONS, & SECRETARY direct 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION VICE PRESIDENT, OPERATIONS direct 2012-04-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
BONNEAU, CATHERINE, MCCORMACK VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. CHIEF OPERATING OFFICER, VICE PRESIDENT direct 2005-12-01
CETERA INVESTMENT SERVICES LLC PRESIDENT, CEO, MANAGER direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, COO AND DIRECTOR direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, DIRECTOR AND COO direct 2005-12-01
PRIMEVEST FINANCIAL SERVICES, INC. PRESIDENT, CEO, COO AND DIRECTOR direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT, COO AND CEO direct 2005-12-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, PRESIDENT AND COO direct 2005-12-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-07-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2013-10-01
HARRISON, BRETT, LAMAR MANAGER, CEO, PRESIDENT 07/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
ANTONIADES, ADAM, NICHOLAS MANAGER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
RUVOLI, GREGG, ALAN VICE PRESIDENT 05/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GENWORTH FINANCIAL ADVISERS CORPORATION SENIOR VICE PRESIDENT - BUSINESS DEVELOPMENT direct 2009-09-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2015-05-01
HALEY, KRISTY, MARIE CHIEF COMPLIANCE OFFICER 11/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA ADVISOR NETWORKS LLC ADVISORY CHIEF COMPLIANCE OFFICER direct 2015-11-01
CETERA INVESTMENT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01
FPC SERVICES, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2005-06-01
FORWARDFRAME LLC CHIEF COMPLIANCE OFFICER/ SECRETARY direct 2016-06-01
RUMMEL, LEANN, RENEE VICE PRESIDENT 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1995-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND NATIONAL SALES DIRECTOR direct 1998-02-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2017-09-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. VP direct 1998-02-01 2007-03-29
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/NATIONAL SALES DIRECTOR direct 1998-02-01 2009-04-20
CETERA FINANCIAL GROUP, INC. SOLE MEMBER CETERA FINANCIAL SPECIALISTS SERVICES LLC 04/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISORS LLC SOLE MEMBER direct 2010-12-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2010-01-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER direct 2010-12-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER, 100% OF COMMON STOCK direct 2010-12-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK direct 2010-01-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER direct 2010-01-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2012-04-01
GENWORTH FINANCIAL ADVISERS CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2012-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 11/01/2009 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2009-11-01
MULTI-FINANCIAL SECURITIES CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
PRIMEVEST FINANCIAL SERVICES, INC. SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT SERVICES LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2009-11-01
CETERA INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2009-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2009-11-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2009-10-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FINANCIAL GROUP, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

WhaleScore history for CETERA INVESTMENT ADVISERS

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