How Cetera Advisors Helps to Protect You
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
