Broker Check

The Teams Behind Freeman Heyne

Our Broker Dealer: Cetera Advisors

Cetera Advisors is one of the premier broker-dealers in the industry. As our broker-dealer, they are responsible for executing trades on our clients’ behalf. Like all broker-dealers, they must undergo regular auditing, and are required to meet specific net capital requirements to ensure it can meet its financial obligations.

Their support for our relationship goes well beyond its function as trade executor. Our affiliation means that we are not held to a sales quota or tied to selling only proprietary products. We have the independence and freedom to recommend the financial solutions that best suit your needs, ensuring your objectives are what drive all decisions.

Cetera’s Parent Company: Cetera Financial Group

Cetera Advisors is part of the family of independently managed firms of Cetera Financial Group (Cetera). For the past 30 years, Cetera’s family of companies has grown to manage over $110 billion in client assets, delivering award-winning* advisory products and solutions and sophisticated trading and technology platforms to us and other advisors across all 50 states. You can be confident that their tools, technology and support help make us more effective in our relationship with you.

Cetera Financial Group is the cornerstone of the retail advice division of RCS Capital Corporation, a publicly traded company (NYSE: RCAP) focused on serving the needs of investors with best-in-class solutions.

Our Custodians: Pershing LLC and Cetera Investment Services

While a broker-dealer helps supervise and facilitate the trading that converts your cash into invested assets, those assets are actually held by a custodian. Cetera Advisors works with two custodians. Cetera Investment Services LLC custodies individual retirement accounts (IRAs). Pershing LLC custodies brokerage accounts, including the brokerage accounts within IRAs.

Pershing is a subsidiary of the Bank of New York Mellon Corporation, which is the nation’s oldest continuously operating bank and one of the world’s leading providers of securities services. Cetera Investment Services is an affiliate of Cetera Advisors, providing brokerage and other services to its own clients in addition to providing IRA custodial services to Cetera Advisors’ clients. Both Pershing and Cetera Investment Services have to meet certain net capital requirements and are subject to regular audits, both internally and by independent firms, to ensure the appropriate handling, segregation and protection of investors’ assets.