For more than 30 years, we have helped financial professionals like you find greater success by enhancing their relationship with their clients. Working as an advisor within a bank or credit union that has partnered with Cetera Financial Institutions provides you with insight, technology, products and services from the largest wealth management partner with a sole focus on financial institutions.
Financial advisors within a bank or credit union benefit from exposure to a pipeline of clients and the ability to leverage a well-known brand within the community. We help you make the most of these opportunities.
Ways We Support You
Onboarding & Transition Support
We will ensure you are properly registered, licensed, and trained so you can hit the ground running on day one. If you have a book of business, we will help ensure a smooth transition.
Access to Our Tools & Resources
We provide training on our vast resources, including the SmartWorks® technology platform, multiple marketing platforms, client billing and reporting.
Education & Training
We offer a range of in-person and remote training opportunities, ranging in topics from technology tools, marketing and sales strategies and operational processes, to life insurance and retirement planning.
Dedicated Sales Team Support
Working with your institutions, we provide assistance in developing best practices and sales techniques that can help you cross-sell to existing clients and reach out to prospects.
Stay Engaged with Clients & Prospects
The Connect2Clients® marketing portal allows you to seamlessly oversee ongoing communications and web strategy through email, greeting cards, website, smartphone app and social media.
We help you by reviewing opportunities, examining branch books through regular field audits, assisting with regulatory inquiries and required filings, providing legal guidance for E&O issues and subpoenas, and notifying you of regulatory changes.
Whether you are a designated supervisor or registered representative, the advanced competencies built into our technology platform, SmartWorks, can simplify many of your compliance and regulatory tasks.
Online Trade Review
This tool streamlines the trade review process by organizing trades, listing transaction and product details. An online annuity pre-approval process meets Rule 2821 guidelines.
Variable Annuity Comparison Tool
Side-by-side variable annuity contract comparison generates a summary that could be used in lieu of, or in addition to, a Variable Annuity Cost Comparison Worksheet when the transaction involves a 1035 exchange.
This online technology hub enables you to open accounts, place trades, retrieve client notes, view current account data, access market intelligence, and review performance through multilevel reporting capabilities.
Prospect and Client Management Tools
Open brokerage accounts or annuities online; trade equities, options, fixed income, annuities, mutual funds, and money markets; transfer client information to MoneyGuidePro; and obtain analytics from Morningstar.
Track your production by generating daily sales and revenue reports, including general securities, networked and non-networked mutual funds, variable annuities, fixed annuities, life insurance, 12(b)-1 trailers and annuity trailers. These reports are available 24/7.
Document Imaging & Forms Library
Store your broker-dealer and non-broker-dealer documents online and pull them up instantly from any computer. Download and print on demand the forms you need to transact business.
Looking for a place that is focused on growing your business?
Many of the banks and credit unions that have chosen Cetera Financial Institutions as their broker-dealer are seeking qualified, dedicated and experienced advisors to establish and build client relationships in a financial institution environment.
Become an advisor with Cetera Financial Institutions, one of the largest broker-dealers exclusively focused on banks and credit unions. Search the map below for your next great career opportunity or call Jennine Klosterman, Recruiting Manager today, at 800-245-0467 ext. 63106.
The Associate Advisor works collaboratively with the Financial Advisor to proactively grow and service an existing client base, along with developing new clients, within the investment program. If you are interested in a career in the financial services industry, yet have limited experience, starting as an Associate Advisor might be a great option for you to consider.
Licensed Sales Assistant
The sales assistant is the central contact for procedural and operational issues, communicating these issues through appropriate channels and supporting the overall efforts of the Advisor, the financial institution and Cetera Financial Institutions.
Licensed Financial Services Sales Assistant III
This position is a high-level Sale Assistant (Level III) and will provide full administrative & operational support for one or more Financial Advisor(s) and serve as a liaison between Financial Advisor(s) and their customers. Candidate must be Series 7 and 63 licensed and have a minimum 5 years of experience in the financial services industry or related field.
This position will serve as manager, coach and mentor to Financial Consultants in their respective area. Responsible for the overall sales performance and skills development of the Financial Consultants. Will serve as the area Investment services partner to Area Presidents and Consumer Banking Executives. Will perform the compliance responsibilities as the FINRA Designated Supervisor of each registered associate within the reporting area.
This Financial Advisor position is located within a bank branch. The Financial Advisor is responsible for providing financial planning, financial advice and investment management to serve the needs of the Bank's consumer and business customers. The Financial Advisor assesses the customer's investment portfolio, financial objectives, and provides guidance to the customer on successfully achieving those objectives. Please note: Applicants must hold a current FINRA Series 7 and 63 in order to be considered.
Coming to PrimeVest [now known as Cetera Financial Institutions] from the wirehouse was a great move for me. The planning software is superior to what I had there. The mutual fund research is better, and there is a greater breadth of product available to me. But most of all, I’m on pace for my best year ever—25% more than my best year at a nationally known wirehouse.
Financial Professional, CB Financial Services
Cetera Financial Institutions is a marketing name of Cetera Investment Services LLC, a self-clearing, registered broker-dealer that caters exclusively to banks and credit unions. Started in 1984 as a team of 20 bank-centric brokerage visionaries at Bankers Systems Inc., we have stayed true to our roots by only serving advisors within banks and credit unions. Our mutual success is the result of building collaborative relationships between institutions and their advisors, delivering comprehensive financial solutions to investing clients, and offering unparalleled service to financial institutions. Through Cetera Investment Advisers LLC, an SEC registered investment adviser firm, financial advisors receive a wide array of solutions and back-office support. Cetera Investment Services is a member of the Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA).