We work hard behind the scenes to serve our independent and institutions-based financial advisors, but we’re always honored to see our work featured for its key position in the industry.

Awards & Accolades

March 2016: Summit Brokerage Services Voted Top Independent Broker-Dealer Among Firms With Less Than 1,000 Financial Advisors For Second Year

This honor has been given as a result of’s 2016 Independent Broker-Dealer Report Card. Summit garnered an overall advisor satisfaction score of 9.8 out of a possible 10. This achievement marks the third consecutive time Summit has received a score at this level or higher.

April 2016:Cetera Financial Institutions is awarded three Bank Insurance & Securities Association Technology Innovation Awards

This Award, given to the Firm’s Mobile Solution, RightBRIDGE ® and Pentameter® Programs, recognizes leadership in the advancement of the financial services industry’s products, services and platforms.

September 2015: Cetera Financial Group receives two honors at’s Industry Awards reception, recognized under the Practice Management category for Pentameter and Transition Support award for the 90-in-90 program.

The inaugural Industry Awards program was designed to recognize the companies and organizations that support advisors’ success. The Practice Management category highlights a new initiative, program or enhancement to an existing platform that helps broker-dealer advisors manage a better business. The Transition Support category highlights an initiative that helps advisors onboard clients and new business.

April 2015: Cetera Financial Group was awarded Oracle’s 2015 Markie award for Best Cross-Channel Marketing Program. It was deemed a finalist for Best Audience Creation and CMO’s Marketing Team of the Year.

The Markie honors excellence in marketing and has celebrated the accomplishments of brands since 2007. The award for Best Cross-Channel Marketing Program rewards a company for creating personalized experiences with messages and promotions across web, social, mobile, email, display and other digital channels.

March 2015: Cetera Financial Institutions’ DataPak® wins Technology Innovation Award during the Bank Insurance Securities Association's 2015 Annual Convention .

This award recognizes leadership in the advancement of the financial services industry’s products, services and platforms through technology innovation. This award highlights companies for their commitment to advancements in technology-based solutions for the industry. This is Cetera Financial Institutions' second consecutive win in this category.

January 2015: Cetera Financial Group is one of three finalists for Direct Marketing News' Marketing Automation Innovation award.

This honor highlights the most innovative use of data and marketing technology to achieve outstanding results. The Direct Marketing News 2015 finalists all exemplify forward thinking in marketing automation.

October 2014: Cetera Financial Group wins Oracle’s 2014 Markie award for Best Lead Nurturing Program.

The Markie honors excellence in marketing and has celebrated the accomplishments of brands since 2007. The winner for Best Lead Nurturing Program knows that a sophisticated lead nurturing program utilizes creative workflows and segmentation to deliver measurable results, decisions that matter and actions that are compelling.

September 2014: Cetera Financial Group’s CEO, Larry Roth, was unanimously voted by the Executive Committee of the Insured Retirement Institute (IRI) Group to the Institute’s Board of Directors effective at the IRI Annual Meeting, running for an initial three-year term.

The Insured Retirement Institute (IRI) is the leading association for the retirement income industry. IRI proudly leads a national consumer coalition of more than 30 organizations, and is the only association that represents the entire supply chain of insured retirement strategies.

September 2014: Investors Capital Corporation was awarded 2nd place in Investment Advisor magazine’s 2014 Broker/Dealer of the Year poll, Division II, with Summit Brokerage placing in the top three.

Nearly 3,000 reps participated in the voting, ranking their broker-dealers in 15 different categories. The broker-dealers who garnered the highest average rep rating in each of four divisions, measured by the number of producing reps, receive the annual award.

August 2014: Cetera Financial Group’s President, Adam Antoniades, was elected to the role of Vice Chairman of the Financial Services Institute and will serve as Chairman in 2015.

The Financial Services Institute (FSI) was founded in 2004 to ensure that all individuals have access to competent and affordable financial advice, products and services delivered by a growing network of independent financial advisors and independent financial services firms.

August 2014: Cetera Advisor’s President, Erinn Ford, was named to “The Ten to Watch in 2015” by is a leading news provider to the financial advisor community. Every year it gathers a list of the top ten most influential individuals in the industry making big moves.

May 2014: Cetera Financial Group wins a gold trophy for Best Corporate Image at the Financial Communications Society Awards Gala.

Every year, the Financial Communications Society celebrates its FCS Portfolio Awards to honor the industry’s leading brands’ winning work in advertising, public relations, collateral, event marketing and social media.

May 2014: Cetera’s Agnes Lew ranked #1 among the nation’s Top 20 Program Managers by Bank Investment Consultant magazine.

First recognized in 2008, the Bank Investment Consultant Top 20 Program Managers are selected based on the performance of their advisors, growth of program assets, growth of overall production and the total number of advisors under supervision. Seventeen Cetera Financial Institutions honorees have been selected since the award’s inception.

April 2014: Cetera Financial Group is named Advisory Solutions Sponsor Firm of the Year and honored for Best Advisory Solutions Marketing Program of the Year by the Money Management Institute (MMI), the nation’s leading advisory solutions organization.

These prestigious awards were bestowed by MMI as part of its 2014 Industry Leadership Awards, its sixth annual event recognizing innovation and achievement in the advisory solutions industry.

April 2014: Cetera Financial Institutions’ SmartWorks® wins Bank Insurance Securities Association's (BISA) Technology Innovation Award during the 2014 BISA Annual Convention.

The BISA Annual Convention honors leadership in the advancement of the financial services industry’s products, services and platforms through technology innovation.

June 2013: Cetera Advisors announced its 2012 award winners, led by Lifetime Achievement Award recipients Larry Engelkemier and Donna Sulzbach, honored for outstanding dedication to their clients.

Cetera Advisors' Awards Conference is one of the many ways we say thank you to our top representatives. Their success is a measure of our success and this is one way we show our appreciation for their exceptional commitment.

March 2013: LeAnn Rummel, Cetera Financial Institutions’ Executive Vice President and National Sales Manager, was selected as a Member of the Bank Insurance Securities Association's (BISA) Circle of Excellence for 2014.

This award honors outstanding professionals for their contribution to the insurance and securities industry in bank and credit union wealth management channels.

May 2012: Cetera’s mutual funds/exchange traded funds (MF/ETF) advisory program was awarded the Advisory Solutions Product of the Year by Money Management Institute (MMI), the nation’s leading advisory solutions organization.

This prestigious honor is granted to the firm that launched the most innovative product contributing to industry growth. Founded in 1997, MMI is the national organization for the advisory solutions industry, representing portfolio manager firms and sponsors of investment consulting programs.