Eric Loberg, Senior Compliance Analyst for Cetera Investment Services, was named to the Bank Insurance & Securities Association’s (BISA) Diversity and Inclusion Rising Star Class of 2021. Eric was recognized for demonstrating excellence in his contributions and dedication to his organization and the financial services industry. The Rising Star program is an exclusive BISA-sponsored recognition and leadership development program for young professionals. The program is designed to foster professional and leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.
Eric is co-chair of the Employee Engagement Council, and in his compliance role at Cetera, Eric is responsible for handling vulnerable adult incidents, coordinating compliance communications, assisting with various types of audits, and providing guidance regarding regulatory matters. Prior to his current role, he held various compliance roles at CIS, including surveillance and anti-money laundering (AML) work. Before joining the Compliance team in 2010, Eric worked in the Resource Center. In his Employee Engagement Council role, Eric is responsible for providing leadership to a team focused on maintaining an energetic work environment where everyone feels accepted and respected.
LeAnn Rummel, President and CEO of Cetera Investment Services, said, “Eric is one to regard in the financial profession and excels in his role as senior compliance analyst. Our financial professionals are constantly looking for ways to deliver more value more often to investors, clients, and their communities, and we are delighted to know that his hard work is being recognized and that he has been given a platform and resources to contune to soar.” To learn more about the BISA program, and see the complete list of Rising Stars, visit here.
About Cetera Financial Group®
Cetera Financial Group (Cetera) is a leading financial advice firm. It empowers the delivery of an Advice-Centric Experience® to individuals, families and businesses across the country through independent financial advisors as well as trusted tax professionals and banks and credit unions. It’s headquartered at 200 N. Pacific Coast Highway, Suite 1200 El Segundo, CA 90245-5670.
Comprehensive services include: wealth management solutions, retirement plan solutions, advisory services, practice management support, innovative technology, marketing guidance, regulatory support, and market research.
"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC.
Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.
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