Date: 10.04.18

Cetera Financial Group® Announces the Launch of its Advisor Alignment Program

Invests in Advisor Engagement and Growth via Three-Pronged Approach: Advisor Councils, Growth-Oriented Loans, and an Equity Value Participation Program

Los Angeles – Cetera Financial Group® (“Cetera”), a leading network of independent firms with nearly 8,000 financial advisors, today announced the launch of its Advisor Alignment program, which includes expanded engagement opportunities and investment in advisor growth through two types of loans and an equity value participation framework.

As part of the enhanced Advisor Engagement strategy, Cetera has formalized existing advisor shared services councils in six departments, creating new Enterprise Action Committees across the following areas of the organization: Marketing, Communication and Events; Risk and Advocacy; Technology & Innovation; Advisor Growth; Service & Operational Excellence; and Advisor Lifecycle Planning and Diversity. Each committee includes two chairs and an implementation manager from its respective department, and 6-12 advisors with a two-year tenure.

Additionally, advisors will participate in Cetera’s enterprise-level Advisor Engagement Council, which is chaired by Robert “RJ” Moore, chief executive officer of Cetera and includes meetings with the board of directors at least twice a year. The creation of these new advisor councils and committees ensures that advisors continue to have a seat at the table with regards to strategic decision-making.

To drive mutually beneficial organic growth, Cetera has also created two types of attractive, growth-oriented loans. Examples include lead generation initiatives and succession planning. Finally, the firm has unveiled an equity value participation program for existing, as well as for new, advisors, which is unique to the profession.

RJ Moore, CEO of Cetera, said, “True alignment in any business arrangement can only be achieved when all parties stand to benefit from the same outcome. Our three pronged approach unifies advisors, shareholders, employees, and clients alike behind common goals. Advisors have had past opportunities to participate in the direction and growth of organizations like ours, but that opportunity has been limited to the top producing advisors. We are creating opportunities in which a greater number of existing and new advisors are incentivized to participate, and ensuring that their influence is an integral part of our mutual success.”

Moore continued, “Our mission is to transform the future of our profession by driving successful outcomes for clients through the delivery of the Advice-Centric Experience, which envisions a profession driven by high-caliber, planning-based advice for clients, and is supported by tools, technology, resource and consulting that is unmatched in this profession. We are offering a rare opportunity for advisors to be part of this transformation, not only in spirit but as paticipants in this strategy and growth.”

This press release does not constitute an offer to sell, or the solicitation of an offer to purchase, any securities of Cetera Financial Group or its affiliates.

About Cetera Financial Group®

Cetera Financial Group ("Cetera") is a leading network of independent firms empowering the delivery of professional 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 service provider to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and financial 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 cetera.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 and Summit Brokerage Services. All firms are members FINRA / SIPC.

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