| Date | Description |
|---|
| 2023-07-13 |
insert ceo Michael Durbin |
| 2023-07-13 |
insert otherexecutives Michael Durbin |
| 2023-07-13 |
insert person Michael Durbin |
| 2023-03-26 |
insert chro Jenifer Kerr |
| 2023-03-26 |
delete person Elissa Mahendra |
| 2023-03-26 |
insert person Jenifer Kerr |
| 2023-02-22 |
insert otherexecutives Michael Zuna |
| 2023-02-22 |
insert person Michael Zuna |
| 2023-01-21 |
delete chro Jeannie Finkel |
| 2023-01-21 |
delete person Andy Gill |
| 2023-01-21 |
delete person Jeannie Finkel |
| 2021-09-03 |
delete person Chantalle Couba Joins |
| 2021-07-01 |
insert otherexecutives Vamsi Yadlapati |
| 2021-07-01 |
insert person Vamsi Yadlapati |
| 2021-05-31 |
delete person Mimi Bock |
| 2021-05-31 |
insert person Chantalle Couba Joins |
| 2020-07-25 |
delete ceo Gregg Ruvoli |
| 2020-07-25 |
delete president Gregg Ruvoli |
| 2020-07-25 |
insert president Ron Krueger |
| 2020-07-25 |
delete person Gregg Ruvoli |
| 2020-07-25 |
delete person Paul Ewing |
| 2020-07-25 |
insert person Ron Krueger |
| 2020-05-24 |
delete ceo Adam Antoniades Promoted |
| 2020-05-24 |
delete person Adam Antoniades Promoted |
| 2020-04-24 |
insert otherexecutives Lori Hardwick |
| 2020-04-24 |
delete person Andy Gill Joins |
| 2020-04-24 |
insert person Lori Hardwick |
| 2020-04-24 |
insert person Paul Ewing |
| 2020-03-24 |
insert person Andy Gill Joins |
| 2019-12-22 |
delete president Adam Antoniades |
| 2019-12-22 |
insert ceo Adam Antoniades |
| 2019-12-22 |
update person_title Adam Antoniades: President => Chief Executive Officer |
| 2019-12-22 |
update person_title Ben Brigeman: Chief Executive Officer, Interim; Chairman of the Board => Chairman of the Board |
| 2019-10-22 |
delete chieflegalofficer Brian Stern |
| 2019-10-22 |
insert chieflegalofficer David Greene |
| 2019-10-22 |
delete person Brian Stern |
| 2019-10-22 |
insert person David Greene |
| 2019-04-16 |
update person_title Ben Brigeman: Chairman of the Board => Chief Executive Officer, Interim; Chairman of the Board |
| 2019-03-15 |
insert chro Jeannie Finkel |
| 2019-03-15 |
insert person Jeannie Finkel |
| 2018-10-21 |
delete chairman Bob Dineen |
| 2018-10-21 |
delete otherexecutives David King |
| 2018-10-21 |
delete otherexecutives Edmond Walters |
| 2018-10-21 |
delete otherexecutives Maliz Beams |
| 2018-10-21 |
delete otherexecutives Mary Cranston |
| 2018-10-21 |
delete otherexecutives Michael Kaufman |
| 2018-10-21 |
insert chairman Ben Brigeman |
| 2018-10-21 |
insert otherexecutives Gary Michel |
| 2018-10-21 |
insert otherexecutives Hal Strong |
| 2018-10-21 |
insert otherexecutives Sid Ramakrishnan |
| 2018-10-21 |
insert otherexecutives Tony Salewski |
| 2018-10-21 |
delete person Bob Dineen |
| 2018-10-21 |
delete person David King |
| 2018-10-21 |
delete person Edmond Walters |
| 2018-10-21 |
delete person Maliz Beams |
| 2018-10-21 |
delete person Mary Cranston |
| 2018-10-21 |
delete person Michael Kaufman |
| 2018-10-21 |
insert person Ben Brigeman |
| 2018-10-21 |
insert person Gary Michel |
| 2018-10-21 |
insert person Hal Strong |
| 2018-10-21 |
insert person Sid Ramakrishnan |
| 2018-10-21 |
insert person Tony Salewski |
| 2018-03-28 |
delete coo David Ballard |
| 2018-03-28 |
delete president Thomas Taylor |
| 2018-03-28 |
insert coo Catherine M. Bonneau |
| 2018-03-28 |
delete person David Ballard |
| 2018-03-28 |
delete person Erinn Ford |
| 2018-03-28 |
delete person Kevin Keefe |
| 2018-03-28 |
insert person Mimi Bock |
| 2018-03-28 |
update person_title Brett Harrison: Chief Executive Officer, Cetera Advisors => Chief Executive Officer, Cetera Advisors and First Allied Securities, Head of Traditional Channel |
| 2018-03-28 |
update person_title Catherine M. Bonneau: Chief Executive Officer, Cetera Financial Institutions => Chief Operating Officer |
| 2018-03-28 |
update person_title Leann Rummel: President, Cetera Financial Institutions => President and Chief Executive Officer, Cetera Financial Institutions |
| 2018-03-28 |
update person_title Thomas Taylor: President => President and Chief Executive Officer, Cetera Advisor Networks, Head of Specialty Channel |
| 2018-02-04 |
delete evp David Ballard |
| 2018-02-04 |
update person_title Brett Harrison: Executive Vice President, Cetera Financial Group Chief Executive Officer, Cetera Advisors => Chief Executive Officer, Cetera Advisors |
| 2018-02-04 |
update person_title David Ballard: Chief Operating Officer; Executive Vice President => Chief Operating Officer |
| 2017-12-26 |
update person_title Sheila Woelfel: Senior Vice President, Strategic Relationships => Head of Portfolio Solutions |
| 2017-11-20 |
delete ceo Douglas S. King |
| 2017-11-20 |
delete cio Muk Mehta |
| 2017-11-20 |
delete president Douglas S. King |
| 2017-11-20 |
insert chieflegalofficer Brian Stern |
| 2017-11-20 |
insert cio Michael Ragunas |
| 2017-11-20 |
insert cmo Michael Zuna |
| 2017-11-20 |
insert otherexecutives Maliz Beams |
| 2017-11-20 |
delete person Douglas S. King |
| 2017-11-20 |
delete person Muk Mehta |
| 2017-11-20 |
delete person Susan Woltman Tietjen |
| 2017-11-20 |
insert person Brian Stern |
| 2017-11-20 |
insert person Maliz Beams |
| 2017-11-20 |
insert person Michael Ragunas |
| 2017-11-20 |
insert person Michael Zuna |
| 2017-02-08 |
insert evp David Ballard |
| 2017-02-08 |
insert president Thomas Taylor |
| 2017-02-08 |
insert person Thomas Taylor |
| 2017-02-08 |
update person_title David Ballard: Chief Operating Officer => Chief Operating Officer; Executive Vice President |
| 2017-01-05 |
insert chairman Bob Dineen |
| 2017-01-05 |
update person_title Bob Dineen: Acting Board Chairman => Chairman of the Board |
| 2017-01-05 |
update person_title Brett Harrison: Executive Vice President, Advisor Growth Chief Executive Officer, Cetera Advisors => Executive Vice President, Cetera Financial Group Chief Executive Officer, Cetera Advisors |
| 2016-10-22 |
delete chieflegalofficer Nina McKenna |
| 2016-10-22 |
delete person Jon Stanfield |
| 2016-10-22 |
delete person Nina McKenna |
| 2016-10-22 |
delete person Tim Murphy |
| 2016-09-24 |
delete ceo R. Lawrence "Larry" Roth |
| 2016-09-24 |
delete chairman Robert Moore |
| 2016-09-24 |
delete otherexecutives Bob Dineen |
| 2016-09-24 |
delete otherexecutives R. Lawrence "Larry" Roth |
| 2016-09-24 |
insert ceo Robert Moore |
| 2016-09-24 |
insert otherexecutives Robert Moore |
| 2016-09-24 |
delete person R. Lawrence "Larry" Roth |
| 2016-09-24 |
update person_title Bob Dineen: Member of the Board => Acting Board Chairman |
| 2016-09-24 |
update person_title Robert Moore: Chairman => Member of the Board; Chief Executive Officer |
| 2016-08-27 |
insert cfo Jeffrey Buchheister |
| 2016-08-27 |
insert otherexecutives David King |
| 2016-08-27 |
insert person David King |
| 2016-08-27 |
insert person Jeffrey Buchheister |
| 2016-07-30 |
insert chairman Robert Moore |
| 2016-07-30 |
insert otherexecutives Bob Dineen |
| 2016-07-30 |
insert otherexecutives Edmond Walters |
| 2016-07-30 |
insert otherexecutives Mary Cranston |
| 2016-07-30 |
insert otherexecutives Michael Kaufman |
| 2016-07-30 |
insert person Bob Dineen |
| 2016-07-30 |
insert person Edmond Walters |
| 2016-07-30 |
insert person Mary Cranston |
| 2016-07-30 |
insert person Michael Kaufman |
| 2016-07-30 |
insert person Robert Moore |
| 2016-07-02 |
delete person Enrique M. Vasquez |
| 2016-07-02 |
insert person Leann Rummel |
| 2016-07-02 |
update person_title Catherine M. Bonneau: President and Chief Executive Officer, Cetera Financial Institutions => Chief Executive Officer, Cetera Financial Institutions |
| 2016-07-02 |
update person_title Gregg Ruvoli: President, Cetera Financial Specialists => President & Chief Executive Officer, Cetera Financial Specialists |
| 2016-03-31 |
delete cmo Susan Theder |
| 2016-03-31 |
delete person Cindy Hamel |
| 2016-03-31 |
delete person Susan Theder |
| 2016-03-31 |
update person_title Enrique M. Vasquez: Chief Executive Officer, Cetera Financial Specialists & the Legend Group => Chief Executive Officer, Cetera Financial Specialists |
| 2016-01-14 |
delete cfo Brian Nygaard |
| 2016-01-14 |
delete person Brian Nygaard |
| 2016-01-14 |
delete person Maureen McAnarney |
| 2016-01-14 |
update person_title Jon Stanfield: Co - President, VSR Financial Services => President, VSR Financial Services |
| 2015-11-08 |
delete person Dean Vernoia |
| 2015-11-08 |
update person_title Kevin Keefe: President, First Allied Securities => President and Chief Executive Officer, First Allied Securities |
| 2015-05-18 |
delete person Connie Chung |
| 2015-04-20 |
delete person Tim McAfee |
| 2015-01-24 |
delete president Enrique M. Vasquez |
| 2015-01-24 |
insert president Gregg Ruvoli |
| 2015-01-24 |
insert svp Cindy Hamel |
| 2015-01-24 |
delete person Mark Spinello |
| 2015-01-24 |
insert person Cindy Hamel |
| 2015-01-24 |
insert person Gregg Ruvoli |
| 2015-01-24 |
update person_description Dean Vernoia => Dean Vernoia |
| 2015-01-24 |
update person_description Enrique M. Vasquez => Enrique M. Vasquez |
| 2015-01-24 |
update person_title Enrique M. Vasquez: President; Chief Executive Officer => Chief Executive Officer |
| 2014-12-18 |
update person_description Dean Vernoia => Dean Vernoia |
| 2014-12-18 |
update person_description Joe Neary => Joseph Neary |
| 2014-12-18 |
update person_description Marshall Leeds => Marshall Leeds |
| 2014-12-18 |
update person_description Tim McAfee => Tim McAfee |
| 2014-12-18 |
update person_title Mark Spinello: Chief Executive Officer / Legend Group => Chief Executive Officer of the Legend Group of Companies; Chief Executive Officer / Legend Group |
| 2014-12-18 |
update person_title Tim Murphy: President and Chief Executive Officer / Investors Capital => President and CEO / Investors Capital Corporation |
| 2014-09-06 |
delete cfo Jon C. Frojen |
| 2014-09-06 |
delete svp Cynthia A. Hamel |
| 2014-09-06 |
insert ceo Marshall Leeds |
| 2014-09-06 |
insert chiefriskofficer Joe Neary |
| 2014-09-06 |
insert president Kevin Keefe |
| 2014-09-06 |
insert president Marshall Leeds |
| 2014-09-06 |
insert svp Sheila Woelfel |
| 2014-09-06 |
delete person Cynthia A. Hamel |
| 2014-09-06 |
delete person James W. Shay |
| 2014-09-06 |
delete person Jon C. Frojen |
| 2014-09-06 |
insert person Dean Vernoia |
| 2014-09-06 |
insert person Joe Neary |
| 2014-09-06 |
insert person Kevin Keefe |
| 2014-09-06 |
insert person Mark Spinello |
| 2014-09-06 |
insert person Marshall Leeds |
| 2014-09-06 |
insert person Sheila Woelfel |
| 2014-09-06 |
insert person Tim McAfee |
| 2014-09-06 |
insert person Tim Murphy |
| 2014-09-06 |
update person_description Brett Harrison => Brett Harrison |
| 2014-09-06 |
update person_description Larry Roth => Larry Roth |
| 2014-09-06 |
update person_title Adam Antoniades: President; Member of the Executive Management Team => President; Vice Chair of the Board of Directors of the Financial Services Institute |
| 2014-09-06 |
update person_title Brett Harrison: Executive Vice President; Head; Chief Executive Officer => Executive Vice President; Head; Executive Vice - President / Strategic Development / Chief Executive Officer; Chief Executive Officer |
| 2014-07-04 |
delete ceo Valerie Brown |
| 2014-07-04 |
delete president Brett Harrison |
| 2014-07-04 |
insert ceo Larry Roth |
| 2014-07-04 |
insert evp Brett Harrison |
| 2014-07-04 |
insert otherexecutives Brett Harrison |
| 2014-07-04 |
insert president Adam Antoniades |
| 2014-07-04 |
insert president Erinn Ford |
| 2014-07-04 |
delete person Valerie Brown |
| 2014-07-04 |
insert person Adam Antoniades |
| 2014-07-04 |
insert person Erinn Ford |
| 2014-07-04 |
insert person Larry Roth |
| 2014-07-04 |
update person_title Brett Harrison: President; Chief Executive Officer => Executive Vice President; Head; Chief Executive Officer |
| 2014-03-04 |
delete cio Leda Csanka |
| 2014-03-04 |
delete svp Leda Csanka |
| 2014-03-04 |
delete vp Leda Csanka |
| 2014-03-04 |
insert cio Mukesh (Muk) Mehta |
| 2014-03-04 |
delete person Leda Csanka |
| 2014-03-04 |
insert person Mukesh (Muk) Mehta |
| 2013-11-10 |
delete coo Kevin Laraia |
| 2013-11-10 |
delete svp Kevin Laraia |
| 2013-11-10 |
delete person Kevin Laraia |
| 2013-10-13 |
update person_title Steve Dunlap: Executive Vice President; Head of Wealth Management => Executive Vice President |
| 2013-08-15 |
delete evp Barnaby Grist |
| 2013-08-15 |
insert evp Steve Dunlap |
| 2013-08-15 |
delete person Barnaby Grist |
| 2013-08-15 |
update person_description Steve Dunlap => Steve Dunlap |
| 2013-08-15 |
update person_description Susan Theder => Susan Theder |
| 2013-08-15 |
update person_title Steve Dunlap: Joins Cetera As Head of Wealth Management => Executive Vice President; Joins Cetera As Head of Wealth Management |
| 2013-07-05 |
insert person Jason M. Mullens |
| 2013-07-05 |
insert person Steve Dunlap |
| 2013-05-23 |
delete person Ellen Stanley |
| 2013-05-23 |
update person_title James W. Shay: Vice President / Risk Management; Vice President of Risk Management for Cetera Financial Group => Senior Vice President of Risk Management for Cetera Financial Group; Senior Vice President / Risk Management |
| 2013-03-02 |
delete ceo Jack R. Handy Jr. |
| 2013-03-02 |
delete person Jack R. Handy Jr. |
| 2013-03-02 |
update person_description Douglas S. King |