Our firm, Cetera Advisor Networks, is a broker-dealer that provides a wide variety of investments and services. Each of our branch offices is independently owned and operated by our financial professionals, and is supported by our national organization.
As a securities brokerage firm, our firm is regulated by the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), and is subject to the rules of those entities as well as the rules of the Municipal Securities Rulemaking Board (MSRB) and all 50 states. The goal of these various entities is to ensure fair and efficient securities markets and provide for the fair treatment of investors.
Our firm fully supports the efforts of these agencies and is an advocate of full and fair disclosure of information to you as our client. We have developed an internal Code of Ethics as well as an extensive set of policies and procedures applicable to our business, and expect high standards of conduct from our financial professionals.