Date: 10.16.17

Cetera Financial Group Wins Prestigious WealthManagement.com Industry Award for Innovative Technology Offering

Top Industry Media Outlet Recognizes Cetera for Tool Enabling Advisors to Prepare for DOL Fiduciary Rule

Los Angeles, CA – Cetera Financial Group® ("Cetera" or "the Company")*, a leading network of independent firms supporting the delivery of professional financial advice, announced today that it won an award at the WealthManagement.com 2017 Industry Awards.The firm was recognized in the Technology category for its DOL DynamIQsTM platform, a comprehensive suite of integrated tools and resources designed to enable financial advisors to prepare for the Department of Labor’s fiduciary rule.

The winners, determined by a panel of independent judges, were announced on October 11 at a gala dinner in New York City, attended by hundreds of top financial advisory industry professionals from across the United States. The WealthManagement.com Industry Award program was designed to recognize companies and organizations that make outstanding contributions to support financial advisors’ success each year.

DOL DynamIQsTM

Cetera’s DOL DynamIQsTM platform took top honors in WealthManagement.com’s Technology category among firms serving 1,000 advisors or more.Cetera developed DOL DynamIQs, a comprehensive suite of integrated tools and resources, to enable financial advisors and financial institution investment programs to prepare for the Department of Labor’s fiduciary rule and thrive in the new regulatory environment it has created. The platform includes a diagnostic tool enabling advisors to assess their readiness for the fiduciary rule and help them map out an actionable game plan to achieve compliance with minimal disruption to their businesses.

In addition, DOL DynamIQs features a business management dashboard that identifies client accounts impacted by the fiduciary rule to help advisors better understand the scope of effort required to resolve any potential business risks.The platform was developed to provide advisors with the tools they need to face regulatory changes in the new fiduciary era with confidence by helping them develop and implement step-by-step plans to seamlessly achieve compliance.

Adam Antoniades, President of Cetera Financial Group, said, “We are very honored to receive the WealthManagement.com Industry Award for our DOL DynamIQsTM platform.Since its introduction last year, advisors have told us that DOL DynamIQs has been immensely useful in their work with clients as they adapt to the new fiduciary era.All of us at Cetera Financial Group are focused day in, day out on leveraging our scale, resources and thought leadership to support advisors and their clients, and the enthusiastic response we have seen to this platform has been gratifying.Being recognized by WealthManagement.com as its Industry Award winner in the Technology category is further confirmation of the value this innovative solution offers our advisors.”

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 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 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, Girard Securities, and Summit Brokerage Services. All firms are members FINRA/SIPC.

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