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Cetera to Acquire Assets Related to Voya Financial Advisors' Independent Financial Planning Channel Underscoring Focus on Growth, Cetera To Have Over $300B in Assets Serving More than 3.1M Retail Customers, Accounts Cetera Advances Mission to Empower More Financial Professionals to Deliver an Advice-Centric Experience® to Investors News provided by Share this article Share this article LOS ANGELES, Feb. 8, 2021 /PRNewswire/ -- Cetera announced today that it has entered into a definitive agreement to acquire certain assets related to the independent financial planning channel of Voya Financi...

To embed, copy and paste the code into your website or blog: On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.”  The Report combines two of FINRA’s long-standing reports:  (a) the retrospective Report of Examination Findings from the prior year; with (b) its forward-looking Examination Priorities Letter. The new format is more user-friendly for supervision and compliance professionals than the prior reports, setting out for each topic: Regulatory Obligation with citation to relev...

Caring Cetera Raises $240,000 to date with Launch of Diversity in Financial Planning Scholarship News provided by Share this article Share this article LOS ANGELES, Jan. 27, 2021 /PRNewswire/ -- Caring Cetera, a 501(c)(3) nonprofit founded and led by financial professionals affiliated with Cetera, has launched a Diversity in Financial Planning Scholarship and raised $240,000 for the program in 2020. Cetera matched all donations made after the scholarship launched and initial fundraising began during [email protected], its virtual conference held in October last year. The scholarship aims�...

Cetera Acquires Financial Services Firm BAR Financial LLC Ownership Model Chosen as BAR's Succession Strategy for Continued Growth News provided by Share this article LOS ANGELES, Jan. 13, 2021 /PRNewswire/ -- Cetera ® has acquired BAR Financial, a financial services firm comprising nearly 300 independent financial professionals, 25 employees, and nearly $4 billion AUM on Cetera's My Advice Architect ® advisory platform. Through this transaction, the details of which were not disclosed, BAR has transitioned to become a Cetera-owned, region-managed group, allowing BAR to retain its brand au...

Alpha Vee Solutions Launches Research Partnership with Summit Capital Solutions News provided by Share this article Share this article BOSTON, Jan. 12, 2021 /PRNewswire/ -- Alpha Vee Solutions and Summit Capital Solutions has reached agreement to use the Alpha Vee Solutions research technology platform supporting Summit's fast growth.  Summit provides investment professionals direct access to leading tradeable investment strategies from asset managers and index providers.  This new investable research technology partnership will yield two exciting products exclusively released on the Virt...