Date: 03.13.17

Cetera Financial Institutions Earns Two Bank Insurance & Securities Association Technology Innovation Awards

This Award, Given to the Firm’s DOL DynamIQs™ and Cetera Fastpath Programs, Recognizes Cetera’s Leadership in the Advancement of Products, Services and Platforms within the Financial Services Industry

St. Cloud, MN – Cetera Financial Institutions, a Cetera Financial Group® (“Cetera”)* firm focused exclusively on banks and credit unions, announced today that its DOL DynamIQs and Cetera Fastpath programs, were each awarded a Bank Insurance & Securities Association (BISA) Technology Innovation Award during the 2017 BISA Annual Convention. This is Cetera Financial Institutions’ fourth year taking home this honor, having won last year for its Mobile Solution, RightBRIDGE® and Pentameter® programs.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. At its yearly convention, the association’s Technology Innovation Award spotlights a company for its commitment to advancements in technology-based solutions for the industry.

LeAnn Rummel, President of Cetera Financial Institutions commented, “Following last year’s DOL ruling, it was critical that we develop industry-leading technology to guide our institutional advisors through each step towards achieving compliance as a fiduciary. The multi-tiered DOL DynamIQs program was designed to adequately educate and prepare our advisors for the anticipated implementation of the rule. We also recognize the importance of delivering a seamless, consolidated client experience, so we are proud to offer our Cetera Fastpath program, which integrates multiple financial platforms into a single interface. We take immense pride in providing industry-leading technology solutions to our advisors, and as regulatory uncertainty lingers, we are continuously working to enhance and re-define the delivery of financial advice.”

The DOL’s new proposed regulatory framework was expected to significantly impact financial institution investment programs and advisor business models, and if it is implemented, will undoubtedly result in substantial changes in compliance and business processes. The DOL DynamIQs platform enables investment programs and advisors to adapt smoothly to this important regulatory shift, ensuring total alignment between the interests of advisors and their clients. Additionally, the tools provided within the DOL DynamIQs program are fully integrated with Cetera's Pentameter® practice management platform and its Connect2Clients® advisor marketing communications support platform, each of which are industry award winning turnkey resources.

Cetera Fastpath is an innovative technology that provides the ability for financial institutions to perform a seamless single sign-on from their Online Banking Portal to the iConnect2Invest end investor portal. The consolidated integration creates an enhanced experience for the financial institution client to access a variety of tools directly from the financial institution website.

Sean Casey, Executive Vice President and Director of Business Development for Cetera Financial Institutions, added, “Our goal is to continuously expand on our vision of providing a holistic ecosystem of tools and services to help bank advisors build and strengthen their practices for the long term. We do that with a combination of analytics, value-added resources, and strategic planning, thereby empowering our investment programs to become true CEOs of their business.”

About Bank Insurance and Securities Association

The Bank Insurance and Securities Association (BISA) is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance, and other financial products and advisory services through the bank channel. Member companies include depository institutions of all sizes, their broker/dealer and mutual fund subsidiaries, third-party marketing companies, product manufacturers and firms providing products, technology or services to support these enterprises. Learn more at www.BISAnet.org.

About Cetera Financial Institutions

Cetera Financial Institutions is a marketing name of Cetera Investment Services LLC, a self-clearing registered broker-dealer that delivers customized investment and insurance solutions to financial institutions nationwide. Cetera Investment Services helps institutions expand their financial offerings, which allows clients to pursue their financial goals through a holistic approach while delivering sound and strong financial solutions. Advisory services are offered through Cetera Investment Advisers LLC, an SEC registered investment adviser firm, where financial advisors receive a wide array of solutions and back-office support, so that they can focus on their clients.

Cetera Investment Services LLC and Cetera Investment Advisers LLC are members of Cetera Financial Group, which provides leading wealth management and advisory platforms and innovative technology to financial advisors and financial institutions nationwide. Cetera Investment Services is a member of the Depository Trust and Clearing Corporation (DTCC), the Securities Investor Protection Corporation (SIPC), and the Financial Industry Regulatory Authority (FINRA). For more information, see www.ceterafinancialinstitutions.com.

About Cetera Financial Group

Cetera Financial Group ("Cetera") is a leading network of independent firms empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.For more information, visit www.ceterafinancialgroup.com.

* "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Investment Services (marketed as Cetera Financial Institutions), Cetera Financial Specialists, First Allied Securities, Girard Securities, and Summit Brokerage Services.

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