Broker Check

About Cetera

My Broker-Dealer: Cetera Investment Services

Cetera Investment Services is one of the largest financial institution based broker-dealers in the
industry.* Its network of people and resources helps financial advisors pursue their clients’ unique goals
and visions for the future. Cetera Investment Services benefits financial institution clients through its:
 Delivery of high-quality investment products, wealth management solutions and premier support to
help grow investment programs.
 State-of-the-art technology and service offerings catered specifically to our distinct focus on financial
institutions and dedication to helping them foster lasting relationships with their clients
 Diverse product choice that delivers the freedom to select financial solutions that best suit client’s
financial goals
 Research, product due diligence and insight to help advisors make more informed decisions
 More than $33.5** billion of assets under administration
Cetera Investment Services is a member of the Securities Investor Protection Corporation (SIPC) and a
member of the Financial Industry Regulatory Authority (FINRA).
Self-Clearing Advantage
Cetera Investment Services is an industry-leading, self-clearing broker-dealer, registered investment
adviser and insurance agency dedicated to serving financial institutions for 30 years. As a self-clearing
broker-dealer, Cetera Investment Services brings to its financial institution clients:
 Rapid response
 Complete quality control
 In-house, real-time data processing
 Expedient execution
 Competitive pricing
 Flexible structure
Seamless trading and execution of annuities, equities, mutual funds, UITs, REITs, ETFs, and fixed income
securities are at the center of Cetera Investment Services’ offerings, along with an unsurpassed priority
for data integrity and information security. Today’s regulatory environment mandates complete
accountability throughout the financial services industry. Cetera Investment Services is focused
exclusively on the complexities of offering investments and insurance within a financial institution and
we build processes designed to meet the regulatory needs of a financial institution and the industry.

* In Investment News 2015 Broker-Dealer Rankings, Cetera Investment Services ranked among the top
20 broker-dealers in total number of advisors and assets.
** As of April 30, 2016.
© 2016 Cetera Investment Services LLC
About Cetera Financial Group®
Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering
the delivery of objective financial advice to individuals, families and company retirement plans across
the country through trusted financial advisors and financial institutions. Cetera is the second-largest
independent financial advisor network in the nation by number of advisors, as well as a leading provider
of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the
benefits of a large, established broker-dealer and registered investment adviser, while serving advisors
and institutions in a way that is customized to their needs and aspirations. Advisor support resources
offered through Cetera include award-winning wealth management and advisory platforms,
comprehensive broker-dealer and registered investment adviser services, practice management support
and innovative technology. For more information, visit
For more information, please contact:
Cetera Investment Services LLC Member FINRA/SIPC
400 First Street South, Suite 300 Saint Cloud, MN 56301
Securities and insurance products are offered through Cetera Investment Services LLC (doing insurance
business in CA as CFG STC Insurance Agency LLC), member FINRA/SIPC. Advisory services are offered through
Cetera Investment Advisers LLC. Neither firm is affiliated with the financial institution where investment
services are offered. Investments are: *Not FDIC/NCUSIF insured *May lose value *Not financial
institution guaranteed *Not a deposit *Not insured by any federal government agency.