The Right Connections

Just as we stand behind you to help you pursue your financial dreams, we have teams standing behind us and supporting our businesses. These firms also strengthen our relationship by providing the resources we need to better serve you.

Our Broker-Dealer: Cetera Advisors

We are affiliated with Cetera Advisors LLC, one of the premier broker-dealers in the industry and as such they are responsible for executing trades on your behalf, undergo regular auditing, are required to meet specific net capital requirements to ensure investor obligations, however do not have any proprietary products or sales quotas.  This independence means we are free to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all decisions.

They have a large network of resources including technology, product research, due diligence and industry insight to help us make more informed decisions. And finally they deliver the regulatory supervision, guidance, and training to ensure that we are updated of regulatory changes and requirements.  This mandatory oversight is vital to protecting our business and  helps to protect you – our clients.

Our Custodians: Pershing and Cetera Investment Services

Cetera Advisors LLC, works with two custodians. Cetera Investment Services LLC custodies individual retirement accounts (IRA’s) to ensure Internal Revenue Code requirements for tax deferral. Pershing LLC custodies brokerage accounts (including the brokerage accounts within IRAs) and fulfills a legal responsibility for safeguarding your assets while providing related administrative services, including settlement of purchases, tax and account record keeping, monthly statements, confidentiality and data integrity protections, and more.

Pershing is a subsidiary of the Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services. Cetera Investment Services is an affiliate of Cetera Advisors LLC, and is a broker-dealer providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Advisor LLC clients. Both Pershing and Cetera Investment Services will meet certain net capital requirements and are subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of investors’ assets.

Our Most Important Connection Is With You

While Cetera Advisors LLC, Pershing and Cetera Investment Services play important roles in our day-to-day servicing, the most important relationship we have is undoubtedly with you— we work with them to make it easier for us to work for you. Anytime you would like more information about Cetera Advisors LLC, Pershing or Cetera Investment Services, please do not hesitate to ask.

Cetera Advisors LLC, Member FINRA/SIPC

4600 S. Syracuse Street, Suite 600  Denver, CO 80237    800.929.3485

Cetera Advisors LLC is a member of the Securities Investor Protection Corporation (SIPC) and a member of the Financial Industry Regulatory Authority (FINRA).