Date: 11.20.14

Cetera Financial Group Announces Rollout of Specialized Consulting Resources to Support Advisors in Addressing Clients’ Complex Legal, Tax and Accounting Needs

Initial Rollout of Advanced Planning Group to Top-Tier Advisors Throughout the Cetera Financial Group Network Marks Phase One

Reflects Plans for Broader Expansion To All Advisors Across Network

Los Angeles, CA – Cetera Financial Group, a leading network of independent broker-dealer firms, today announced the rollout of its Advanced Planning Group’s services to top-tier advisors across the network, representing roughly 10 percent of all Cetera Financial Group-affiliated advisors. The Advanced Planning Group is an in-house consulting resource that supports advisors in addressing clients’ complex financial planning needs by providing guidance on legal, taxation, accounting and insurance matters.

Led by Stanley R. Smiley, Esq., senior vice president and an industry veteran with more than 30 years of legal and estate planning experience, the Advanced Planning Group equips advisors across the Cetera Financial Group network with the ability to meet the increasingly complex and sophisticated challenges involved in developing tax, wealth transfer, estate planning and wealth preservation strategies for high-net-worth clients and their families. The dedicated team is comprised of of many highly credentialed legal and tax professionals and will be adding more professionals in the coming months in anticipation of strong demand from advisors across the network.

Adam Antoniades, president of Cetera Financial Group, said, “The Advanced Planning Group enables our advisors to provide more holistic financial planning in an environment where their clients are more frequently seeking advice that goes beyond the scope of traditional investment management. As a result, our advisors gain a valuable differentiator with their enhanced ability to provide solutions in situations that often require the assistance of attorneys or tax professionals. It’s like adding a new team of highly specialized professionals to an advisor’s staff to help them provide the best possible service to their clients.This is another great example of our strategy to leverage our scale and resources to bring the best industry solutions to the entire network.”

Steve Dunlap, executive vice president, Wealth Management, Cetera Financial Group, said, “More than ever, independent financial advisors are dealing with complex wealth management issues, as high-net-worth clients seek effective strategies to maximize and transfer their wealth in a landscape of ever-changing tax laws and regulations. With the support of the highly experienced Advanced Planning Group, advisors will be better equipped to address a wide array of client financial planning needs, ranging from complex tax deferral strategies and employer stock options analyses to intergenerational asset transfers.”

In addition to providing tax and legal counsel to Cetera Financial Group advisors, the Advanced Planning Group regularly provides advisors with updates and interpretations regarding emerging legislation and tax code changes that will affect advisors and their clients. The Advanced Planning Group does not provide advisors with operational advice or portfolio management counsel.

About Cetera Financial Group

Cetera Financial Group is the retail advice platform of RCS Capital Corporation (NYSE: RCAP). Comprised of Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions), First Allied Securities, Investors Capital, J.P. Turner and Company, The Legend Group, Summit Brokerage Services, along with VSR Financial and Girard Securities following the close of their acquisitions by RCAP, the platform 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. It delivers award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, and innovative technology to over 9,700 independent financial professionals and approximately 500 financial institutions nationwide. Through its distinct firms, Cetera offers the benefits of a large, established and well-capitalized broker-dealer and registered investment adviser, while serving independent and institutions-based financial advisors in a way that is customized to their unique needs and aspirations. Cetera is committed to helping advisors grow their businesses and strengthen their relationships with clients.

About RCAP

RCS Capital Corporation (NYSE: RCAP) is a full-service investment firm expressly focused on the individual retail investor. With operating subsidiaries including retail advice services, wholesale distribution, investment banking, capital markets, investment research, investment management and crowdfunding, RCAP business is designed to capitalize, support, grow and maximize value for the investment programs it distributes and the independent advisors and clients it serves. Additional information about RCAP can be found on its website at RCAP may disseminate information about itself, including the results of its operations and financial information, via social media platforms such as Facebook, LinkedIn and Twitter.

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