My affiliation with Cetera Advisors means that:

  • I am registered as a general or limited securities registered representative, which allows me to offer investment products, and requires:
  • Examinations
  • Ongoing continuing education
  • Background and fingerprint checks
  • I must be registered by Cetera Advisors within each state I conduct business
  • I am subject to credit checks conducted by Cetera Advisors to ensure a history of financial responsibility business is subject to regular auditing
  • I must attend an annual compliance meeting to ensure knowledge about any changes in the regulatory environment