The Right Connections to Stay Focused on You

Providing your advisor with the resources he or she needs to better serve you.



You deserve the confidence that comes from working with a trusted financial advisor. Your advisor is affiliated with Cetera Investment Services and is responsible for executing trades on your behalf and helping you make sound financial choices. We are highly regulated, must undergo periodic audits, and are required to meet specific net capital requirements to ensure we can meet our obligations to investors like you.

Just as your advisor stands behind you to help you pursue your financial dreams, he or she has teams and resources to draw upon to support his or her business. We do not have any sales quotas, and your advisor has access to a wide variety of investment strategies to help you meet your goals. This means your advisor is free to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all recommendations.

Who is Cetera Investment Services?

Cetera Investment Services is part of the Cetera Financial Group, Inc., one of the nation’s largest families of independently managed firms. Cetera Financial Group’s diverse management team is comprised of industry veterans with nearly a quarter-century of experience in financial services.

Founded in 1984, Cetera Investment Services LLC is a self-clearing broker-dealer and insurance agency serving the clients of more than 400 financial institutions with assets ranging from $15 million to $13 billion nationwide. Our financial soundness and strength is derived from our business model, the financial strength and liquidity of our parent company, Cetera Financial Group, and our leadership in regulatory compliance and strict adherence to our principles of risk management to protect the reputations of our financial institutions.

Statement of Financial Condition

How we support your advisor

Financial Solutions

Our diverse and due diligence-approved offerings ensure your advisor has a broad array to offer you.

Network of Support & Services

Our services allow your advisor to focus more on your financial goals.

Investment Protection

Our regulatory supervision, guidance and training focus on protecting you and your investments.

Tools & Technology

Our tools enable your advisor to build your wealth and plan your legacy.

Access Your Account

Access your account statements, consolidated portfolio and market data through iconnect2invest®.


Meet the Cetera Investment Services Executive Team

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LeAnn Rummel
President and Chief Executive Officer
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Sean Casey
EVP, Cetera Investors
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Kevin Larson
SVP, Risk Management
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Kim Holweger
Chief Operations Officer
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Mark Shelson
Chief Financial Officer
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Chris Reinholz
Vice President, Head of Trading
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Corey Hacker
Vice President, Planning and Advice
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Nichole Kircher
Head of Supervision
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Chief Compliance Officer
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Regional Sales Manager & Relationship Manager Team Lead

Meet the Cetera Investment Management Team

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Gene Goldman, CFA
Chief Investment Officer & Director of Research
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Brian Klimke, CFA
Investment Director
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Hristo Stefanov, CFA, CAIA
Investment Director
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Richard Anderson
Investment Director
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Collin Martin, CFA
Senior Investment Analyst
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Vaishali Kothari
Senior Investment Analyst
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Natalia Reshetova
Senior Investment Analyst
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Joseph Corsini
Senior Investment Analyst
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​Shannon Otterbeck
Director, Research Strategy and Development
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Edgar "EJ" Vicente

Investor Information

Investor Relationship and Investment Information

Important Information About Account Confirmation Letters

Important Information about Exchange Traded Funds


Keep Your Account Safe

Strategic Partners

FlexInsured Account®

Insured Deposit Sweep Account

Understanding SIPC

Online Account Access


The Basics of 1099 Reporting - a Tax Guide

Investment Disclosures

Consumer Privacy Notice

Privacy Policy

Cetera Investment Advisers ADV 2A

Non-Deposit Investment Product Disclosure

Business Continuity Plan

Disclosure of Order Execution and Routing Practices

529 Plan Disclosure

Cetera Investment Services’ Compensation

Insurance Agency Compensation

Advisory Services Disclosure

Technical Disclosure

Copyright Statement

Things to Consider Before Making an IRA Rollover Brochure

Fee Schedule

Securities and insurance products offered through Cetera Investment Services LLC (doing insurance business in CA as CFG STC Insurance Agency LLC), member FINRA/SIPC. Advisory services are offered through Cetera Investment Advisers LLC. Neither firm is affiliated with the financial institution where investment services are offered. Investments are: • Not FDIC/NCUSIF insured • May lose value • Not financial institution guaranteed • Not a deposit • Not insured by any federal government agency. Advisory services may only be offered by investment adviser representatives in conjunction with the firm advisory services agreement and disclosure brochure as provided.

Contact and Unsubscribe Information


400 1st Street South, Suite 300
St. Cloud, MN 56301

Phone: 800.245.0467

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