CETERA ADVISORS LLC

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Cetera Advisors is based out of Denver. Cetera Advisors is a large advisory firm with 58523 clients and discretionary assets under management (AUM) of $7,299,734,156 (Form ADV from 2016-09-01). Their last reported 13F filing for Q3 2019 included $2,264,404,000 in managed 13F securities and a top 10 holdings concentration of 25.02%. Cetera Advisors's largest holding is iShares Edge MSCI Min Vol USA ETF with shares held of 2,165,802. Whalewisdom has at least 35 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.264 Billion
  • Prior Market Value $2.251 Billion
  • New Purchases63 stocks
  • Additional Purchases384 stocks
  • Sold out of106 stocks
  • Reduced holdings in393 stocks
  • Top 10 Holdings % 25.02 %
  • Turnover % [1]:19.10%
  • Turnover Alt % [2]: 8.54 %
  • Time Held Top20:12.35 quarters
  • Time Held Top10:14.50 quarters
  • Time Held All:13.63 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 2019-08-14

Performance for Q2 2019: -0.07%
Performance Last 4 Quarters: -1.0%
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 (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/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR/A (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR/A (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CETERA ADVISORS LLC
4600 S. SYRACUSE SUITE 600
DENVER CO    80237
Country: United States

Business Phone: 800-929-3485
Fax: 877-338-1798
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 1194
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 58523
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures: 11.A (2),11.D (2),11.D (4),11.D (5),11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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CETERA ADVISORS LLC

ownership team - last updated 2019-09-27
Name Title Start Date Direct/Indirect % Ownership
HARRISON, BRETT LAMAR MANAGER AND CHIEF EXECUTIVE OFFICER 10/01/2009 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
SMILEY, STANLEY ROBERT VICE PRESIDENT 02/01/2006 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
SHELSON, MARK PAUL TREASURER 07/01/2016 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
CETERA FINANCIAL GROUP, INC. SOLE MEMBER 12/01/2010 Direct 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
RAMOS, RAMON MONEY LAUNDERING REPORTING OFFICER 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT VICE PRESIDENT direct 2000-07-01 2001-09-10
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 2001-09-01 2005-10-03
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01 2014-10-02
HALEY, KRISTY MARIE ADVISORY 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
OLSON, GREGORY ALAN ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISOR NETWORKS LLC ASSISTANT SECRETARY direct 2016-07-01
INVESTORS CAPITAL CORP. SECRETARY direct 2016-07-01
VSR FINANCIAL SERVICES, INC. SECRETARY direct 2016-07-01
FIRST ALLIED SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
GIRARD SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
SUMMIT FINANCIAL GROUP INC ASSISTANT SECRETARY direct 2016-10-01
BANCWEST INVESTMENT SERVICES, INC. ASST. SECRETARY direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2005-03-31
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-02-24
MULTI-FINANCIAL SECURITIES CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-03-09
CETERA INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2015-06-01 2015-08-17
CETERA INVESTMENT ADVISERS LLC ASSISTANT SECRETARY direct 2015-01-01 2015-08-19
VANNOY-PINEDA, KATHLEEN DENISE SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2008-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2009-09-01
MUTUAL SERVICE CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-09-01
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WATERSTONE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
TIAA-CREF TUITION FINANCING, INC. CHIEF COMPLIANCE OFFICER direct 2001-06-01 2003-04-14
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER direct 2008-07-01 2009-03-30
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE (IS) direct 2008-07-01 2009-03-31
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER direct 2008-07-01 2011-01-14
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE direct 2009-05-01 2011-03-31
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2009-05-01 2011-10-25
LPL FINANCIAL LLC EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-01-24
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-12-04
BONNEAU, CATHERINE MCCORMACK CHIEF OPERATING OFFICER 02/01/2018 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
SCHOTT, MARY FRANCES PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
KESTERSON, BARBARA JO PRINCIPAL OPERATIONS OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC FINANCE OFFICER direct 2006-04-01
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2008-08-01
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER direct 2009-01-01
ING FINANCIAL PARTNERS, INC CHIEF OPERATING OFFICER, DIRECTOR direct 2009-01-01
ING FINANCIAL PARTNERS, INC CHIEF OPERATING OFFICER direct 2009-01-01
H&R BLOCK FINANCIAL ADVISORS, INC. CFO direct 2005-01-01
BOWMAN, TIMOTHY JOSEPH PRINCIPAL FINANCIAL OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARGENT FUNDS GROUP, LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2008-02-01
ARGENT FUNDS GROUP, LLC CHIEF ACCOUNTING OFFICER, MANAGER direct 2008-02-01
ARGENT MANAGEMENT CO. LLC CHIEF ACCOUNTING OFFICER, MANAGER direct 2008-02-01
ARGENT MANAGEMENT CO. LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2008-02-01
ARGENT INTERNATIONAL MANAGEMENT COMPANY, LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2008-02-01
ARGENT INTERNATIONAL MANAGEMENT COMPANY, LLC CHIEF ACCOUNTING OFFICER, MANAGER direct 2008-02-01
ARGENT INTERNATIONAL MANAGEMENT COMPANY, LLC MANAGER indirect 2008-02-01
ARGENT EUROPEAN MANAGEMENT CO. LLC CHIEF ACCOUNTING OFFICER, MANAGER direct 2008-02-01
ARGENT EUROPEAN MANAGEMENT CO. LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2008-02-01
CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC CHIEF ACCOUNTING OFFICER, MANAGER direct 2008-02-01
CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC MANAGER, CHIEF FINANCIAL OFFICER direct 2008-02-01
MORRIS, LOREN W CHIEF OPERATING OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC CHIEF OPERATING OFFICER direct 2018-10-01
NEARY, JOSEPH DANIEL MANAGER 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 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 HOLDINGS, 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 ADVISORS LLC

ownership team - last updated 2019-06-27
Name Title Start Date Direct/Indirect % Ownership
HARRISON, BRETT LAMAR MANAGER AND CHEIF EXECUTIVE OFFICER 10/01/2009 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
SMILEY, STANLEY ROBERT VICE PRESIDENT 02/01/2006 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
SHELSON, MARK PAUL TREASURER 07/01/2016 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
CETERA FINANCIAL GROUP, INC. SOLE MEMBER 12/01/2010 Direct 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
OLSON, GREGORY ALAN ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISOR NETWORKS LLC ASSISTANT SECRETARY direct 2016-07-01
INVESTORS CAPITAL CORP. SECRETARY direct 2016-07-01
VSR FINANCIAL SERVICES, INC. SECRETARY direct 2016-07-01
FIRST ALLIED SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
GIRARD SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
SUMMIT FINANCIAL GROUP INC ASSISTANT SECRETARY direct 2016-10-01
BANCWEST INVESTMENT SERVICES, INC. ASST. SECRETARY direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2005-03-31
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-02-24
MULTI-FINANCIAL SECURITIES CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-03-09
CETERA INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2015-06-01 2015-08-17
CETERA INVESTMENT ADVISERS LLC ASSISTANT SECRETARY direct 2015-01-01 2015-08-19
RAMOS, RAMON MONEY LAUNDERING REPORTING OFFICER 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT VICE PRESIDENT direct 2000-07-01 2001-09-10
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 2001-09-01 2005-10-03
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01 2014-10-02
ANTONIADES, ADAM NICHOLAS MANAGER 05/01/2015 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
HALEY, KRISTY MARIE ADVISORY 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
VANNOY-PINEDA, KATHLEEN DENISE SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2008-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2009-09-01
MUTUAL SERVICE CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-09-01
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WATERSTONE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
TIAA-CREF TUITION FINANCING, INC. CHIEF COMPLIANCE OFFICER direct 2001-06-01 2003-04-14
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER direct 2008-07-01 2009-03-30
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE (IS) direct 2008-07-01 2009-03-31
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER direct 2008-07-01 2011-01-14
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE direct 2009-05-01 2011-03-31
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2009-05-01 2011-10-25
LPL FINANCIAL LLC EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-01-24
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-12-04
BONNEAU, CATHERINE MCCORMACK CHIEF OPERATING OFFICER 02/01/2018 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
SCHOTT, MARY FRANCES PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
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 HOLDINGS, 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 ADVISORS LLC

ownership team - last updated 2019-03-14
Name Title Start Date Direct/Indirect % Ownership
HARRISON, BRETT LAMAR MANAGER AND CHEIF EXECUTIVE OFFICER 10/01/2009 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
SMILEY, STANLEY ROBERT VICE PRESIDENT 02/01/2006 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
SHELSON, MARK PAUL TREASURER 07/01/2016 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
CETERA FINANCIAL GROUP, INC. SOLE MEMBER 12/01/2010 Direct 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
RAMOS, RAMON MONEY LAUNDERING REPORTING OFFICER 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT VICE PRESIDENT direct 2000-07-01 2001-09-10
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 2001-09-01 2005-10-03
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01 2014-10-02
ANTONIADES, ADAM NICHOLAS MANAGER 05/01/2015 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
HALEY, KRISTY MARIE ADVISORY 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
OLSON, GREGORY ALAN ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISOR NETWORKS LLC ASSISTANT SECRETARY direct 2016-07-01
INVESTORS CAPITAL CORP. SECRETARY direct 2016-07-01
VSR FINANCIAL SERVICES, INC. SECRETARY direct 2016-07-01
FIRST ALLIED SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
GIRARD SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
SUMMIT FINANCIAL GROUP INC ASSISTANT SECRETARY direct 2016-10-01
BANCWEST INVESTMENT SERVICES, INC. ASST. SECRETARY direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2005-03-31
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-02-24
MULTI-FINANCIAL SECURITIES CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-03-09
CETERA INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2015-06-01 2015-08-17
CETERA INVESTMENT ADVISERS LLC ASSISTANT SECRETARY direct 2015-01-01 2015-08-19
VANNOY-PINEDA, KATHLEEN DENISE SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2008-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2009-09-01
MUTUAL SERVICE CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-09-01
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WATERSTONE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
TIAA-CREF TUITION FINANCING, INC. CHIEF COMPLIANCE OFFICER direct 2001-06-01 2003-04-14
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER direct 2008-07-01 2009-03-30
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE (IS) direct 2008-07-01 2009-03-31
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER direct 2008-07-01 2011-01-14
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE direct 2009-05-01 2011-03-31
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2009-05-01 2011-10-25
LPL FINANCIAL LLC EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-01-24
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-12-04
BONNEAU, CATHERINE MCCORMACK CHIEF OPERATING OFFICER 02/01/2018 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
SCHOTT, MARY FRANCES PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
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 HOLDINGS, 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 ADVISORS LLC

ownership team - last updated 2018-12-13
Name Title Start Date Direct/Indirect % Ownership
HARRISON, BRETT LAMAR MANAGER AND CHEIF EXECUTIVE OFFICER 10/01/2009 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
SMILEY, STANLEY ROBERT VICE PRESIDENT 02/01/2006 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
SHELSON, MARK PAUL TREASURER 07/01/2016 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
CETERA FINANCIAL GROUP, INC. SOLE MEMBER 12/01/2010 Direct 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
RAMOS, RAMON MONEY LAUNDERING REPORTING OFFICER 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT VICE PRESIDENT direct 2000-07-01 2001-09-10
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 2001-09-01 2005-10-03
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01 2014-10-02
ANTONIADES, ADAM NICHOLAS MANAGER 05/01/2015 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
HALEY, KRISTY MARIE ADVISORY 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
OLSON, GREGORY ALAN ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISOR NETWORKS LLC ASSISTANT SECRETARY direct 2016-07-01
INVESTORS CAPITAL CORP. SECRETARY direct 2016-07-01
VSR FINANCIAL SERVICES, INC. SECRETARY direct 2016-07-01
FIRST ALLIED SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
GIRARD SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
SUMMIT FINANCIAL GROUP INC ASSISTANT SECRETARY direct 2016-10-01
BANCWEST INVESTMENT SERVICES, INC. ASST. SECRETARY direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2005-03-31
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-02-24
MULTI-FINANCIAL SECURITIES CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-03-09
CETERA INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2015-06-01 2015-08-17
CETERA INVESTMENT ADVISERS LLC ASSISTANT SECRETARY direct 2015-01-01 2015-08-19
VANNOY-PINEDA, KATHLEEN DENISE SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2008-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2009-09-01
MUTUAL SERVICE CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-09-01
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WATERSTONE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
TIAA-CREF TUITION FINANCING, INC. CHIEF COMPLIANCE OFFICER direct 2001-06-01 2003-04-14
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER direct 2008-07-01 2009-03-30
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE (IS) direct 2008-07-01 2009-03-31
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER direct 2008-07-01 2011-01-14
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE direct 2009-05-01 2011-03-31
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2009-05-01 2011-10-25
LPL FINANCIAL LLC EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-01-24
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-12-04
BONNEAU, CATHERINE MCCORMACK CHIEF OPERATING OFFICER 02/01/2018 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
SCHOTT, MARY FRANCES PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
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 HOLDINGS, 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 ADVISORS LLC

ownership team - last updated 2018-06-22
Name Title Start Date Direct/Indirect % Ownership
HARRISON, BRETT LAMAR MANAGER AND CHEIF EXECUTIVE OFFICER 10/01/2009 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
SMILEY, STANLEY ROBERT VICE PRESIDENT 02/01/2006 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
SHELSON, MARK PAUL TREASURER 07/01/2016 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
CETERA FINANCIAL GROUP, INC. SOLE MEMBER 12/01/2010 Direct 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
RAMOS, RAMON MONEY LAUNDERING REPORTING OFFICER 02/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT VICE PRESIDENT direct 2000-07-01 2001-09-10
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 2001-09-01 2005-10-03
CETERA ADVISOR NETWORKS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REGULATORY OFFICER direct 2013-02-01 2014-05-27
CETERA INVESTMENT ADVISERS LLC MONEY LAUNDERING REPORTING OFFICER direct 2013-02-01 2014-10-02
ANTONIADES, ADAM NICHOLAS MANAGER 05/01/2015 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
HALEY, KRISTY MARIE ADVISORY 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
OLSON, GREGORY ALAN ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISOR NETWORKS LLC ASSISTANT SECRETARY direct 2016-07-01
INVESTORS CAPITAL CORP. SECRETARY direct 2016-07-01
VSR FINANCIAL SERVICES, INC. SECRETARY direct 2016-07-01
FIRST ALLIED SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
GIRARD SECURITIES, INC. ASST. SECRETARY direct 2016-08-01
SUMMIT FINANCIAL GROUP INC ASSISTANT SECRETARY direct 2016-10-01
BANCWEST INVESTMENT SERVICES, INC. ASST. SECRETARY direct 2000-02-01 2003-05-02
PRIMEVEST FINANCIAL SERVICES, INC. ASST. SECRETARY direct 1998-04-01 2005-03-31
FINANCIAL NETWORK INVESTMENT CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-02-24
MULTI-FINANCIAL SECURITIES CORPORATION ASSISTANT SECRETARY direct 2010-02-01 2010-03-09
CETERA INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2015-06-01 2015-08-17
CETERA INVESTMENT ADVISERS LLC ASSISTANT SECRETARY direct 2015-01-01 2015-08-19
VANNOY-PINEDA, KATHLEEN DENISE SENIOR VICE PRESIDENT, BD CHIEF COMPLIANCE OFFICER AND SECRETARY 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2008-07-01
ASSOCIATED SECURITIES CORP. CHIEF COMPLIANCE OFFICER direct 2009-09-01
MUTUAL SERVICE CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-09-01
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC CHIEF COMPLIANCE OFFICER direct 2009-09-01
WATERSTONE FINANCIAL GROUP, INC. CHIEF COMPLIANCE OFFICER direct 2009-09-01
TIAA-CREF TUITION FINANCING, INC. CHIEF COMPLIANCE OFFICER direct 2001-06-01 2003-04-14
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER OF THE BROKER-DEALER direct 2008-07-01 2009-03-30
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE (IS) direct 2008-07-01 2009-03-31
UVEST FINANCIAL SERVICES GROUP, INC. EVP AND CHIEF COMPLIANCE OFFICER direct 2008-07-01 2011-01-14
LPL FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER-BROKERAGE direct 2009-05-01 2011-03-31
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER - BROKERAGE direct 2009-05-01 2011-10-25
LPL FINANCIAL LLC EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-01-24
LPL FINANCIAL LLC CHIEF COMPLIANCE OFFICER, BROKERAGE direct 2009-05-01 2013-12-04
BONNEAU, CATHERINE MCCORMACK CHIEF OPERATING OFFICER 02/01/2018 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
SCHOTT, MARY FRANCES PRESIDENT 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
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 HOLDINGS, 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

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