About Cetera Financial Specialists

Our independent business model ensures we have the autonomy and discretion to put you at the center of all investment strategies and business decisions. Just as we stand behind you to help you pursue your financial dreams, we have teams standing behind us supporting our business. These organizations also strengthen our relationship with you by providing the resources we need to offer superior service. We'd like you to know more about these organizations and why we have chosen to work with them.

Our Broker-Dealer: Cetera Financial Specialists

We’re affiliated with Cetera Financial Specialists, one of the premier broker-dealers in the industry. They’re responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing, and are required to meet specific net capital requirements to ensure they can meet obligations to investors like you.

But their support for our relationship goes well beyond executing trades. We have the independence and freedom to recommend the financial solutions that best suit your needs—no sales quotas to fulfill or proprietary products to push—ensuring your objectives are what drive all decisions, while Cetera Financial Specialists’ network of people and resources help us pursue your unique goals and vision for the future.

Their Organization: Cetera Financial Group

Cetera Financial Specialists is part of Cetera Financial Group, an industry-leading network of independently managed broker-dealers. Cetera’s broker-dealers deliver award-winning advisory products and solutions, and sophisticated trading and technology platforms to me and other financial professionals across all 50 states. You can be confident that their tools, technology, and support help make me more effective in serving you.

Our Custodians: Pershing and Cetera Investment Services

While a broker-dealer helps supervise and facilitate the trading that converts your money into invested assets, those assets are held by a custodian. Cetera Financial Specialists works with Pershing LLC to custody investor assets in brokerage accounts and advisory accounts. Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services.

Either Pershing or Cetera Investment Services LLC serves as the IRA custodian on individual retirement accounts (IRAs), responsible for tax reporting and administering IRAs. Cetera Investment Services is an affiliate of Cetera Financial Specialists, providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Financial Specialists’ clients. Both Pershing and Cetera Investment Services each must meet certain net worth and other requirements to be approved as custodians, and are subject to regular audits, both internally and by independent firms, to maintain those approvals.

Our Most Important Connection: With You

While the organizations behind us play important roles in serving your needs, the most important relationship we have is undoubtedly with you. We work with these organizations to make it easier for us to work for you. If you'd like more information about them, please don’t hesitate to ask. We want you to feel confident that you understand, to your satisfaction, how we work with and through these organizations, why we have chosen to work with Cetera Financial Specialists, and the absolute priority both Cetera Financial Specialists and our team place on our relationship with you.

Professional Service

Cetera Investment Management

Insight, Foresight, Perspective
Independent, objective research and guidance to assist your financial professional in designing the investment strategy that's right for you.

Cetera Investment Management delivers a wealth of independent, objective research and guidance designed to make sense out of the complex, often-changing economic landscape. They provide the insight, foresight, and perspective on the financial markets your financial professional needs to keep you on track to pursuing greater financial well-being. Together with your financial professional, they’re your partner for acquiring a deeper understanding of the economic landscape, maintaining a forward-looking focus on market trends and performance, and creating solutions designed to help you capitalize on that perspective—so you can feel more confident you are on the path to your investment goal.

About Cetera® Investment Management

Cetera Investment Management LLC is an SEC registered investment adviser owned by Cetera Financial Group®. Cetera Investment Management provides market perspectives, portfolio guidance, model management, and other investment advice to its affiliated broker-dealers, dually registered broker-dealers and registered investment advisers.

Commentaries

Cetera Investment Management’s take on current market, economic & cultural events.

The Week Ahead Video

Cetera’s Chief Investment Officer Gene Goldman sheds some light on what might be moving the markets each week.

Weekly Market Recap

Looking back at the past week’s market movements and economic events.

Monthly Market Recap

A recap of the past month’s overall market performance and notable events.

Quarterly Market Recap

Reviewing the previous quarter’s market and economic activity and looking ahead to what the next quarter has in store.

Market Outlook

Cetera Investment Management’s timely Outlook examines what the national and global economic forecast has in store.

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