FIRST ALLIED ADVISORY SERVICES, INC.

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First Allied Advisory Services is based out of San Diego. First Allied Advisory Services is a large advisory firm with 30127 clients and discretionary assets under management (AUM) of $5,903,218,176 (Form ADV from 2018-04-01). Their last reported 13F filing for Q3 2019 included $2,810,418,000 in managed 13F securities and a top 10 holdings concentration of 17.38%. First Allied Advisory Services's largest holding is Vanguard Total Stock Market ETF with shares held of 576,876. Whalewisdom has at least 40 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $2.81 Billion
  • Prior Market Value $2.895 Billion
  • New Purchases498 stocks
  • Additional Purchases514 stocks
  • Sold out of71 stocks
  • Reduced holdings in575 stocks
  • Top 10 Holdings % 17.38 %
  • Turnover % [1]:34.97%
  • Turnover Alt % [2]: 11.49 %
  • Time Held Top20:7.10 quarters
  • Time Held Top10:9.60 quarters
  • Time Held All:11.53 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.35%
Performance Last 4 Quarters: 14.04%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR/A (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR/A (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FIRST ALLIED ADVISORY SERVICES, INC.
655 W. BROADWAY 12TH FLOOR
SAN DIEGO CA    92101
Country: United States

Business Phone: 866-378-1376
Fax: 636-537-9104
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 609
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 0
Total Number of Clients: 30127
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures: 11.A (2),11.B (1),11.B (2),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.E (1),11.E (2),11.E (4),11.H (1).(c)
Data above was derived from SEC filings.

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FIRST ALLIED ADVISORY SERVICES, INC.

ownership team - last updated 2019-09-03
Name Title Start Date Direct/Indirect % Ownership
FAS HOLDINGS, INC. SOLE SHAREHOLDER 10/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 1994-10-01
HARRISON, BRETT, LAMAR CEO 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
SHELSON, MARK, PAUL TREASURER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
OLSON, GREGORY, EDWARD ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. ASSISTANT SECRETARY direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISORY SERVICES LLC ASSISTANT SECRETARY direct 2016-06-01
Schott, Mary, Frances PRESIDENT 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
BREGOZZO, MATTHEW, GREGORY CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2018-10-01
NEARY, JOSEPH, DANIEL MANAGER/DIRECTOR 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2013-01-01
FSC SECURITIES CORPORATION CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
FSC SECURITIES CORPORATION CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2010-02-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
ROYAL ALLIANCE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
PARK AVENUE SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2013-04-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
SAGEPOINT FINANCIAL, INC. CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY direct 2012-05-01
SAGEPOINT FINANCIAL, INC. CHIEF COMPLIANCE OFFICER-RIA direct 2012-05-01
VISION2020 WEALTH MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2010-05-01
FIRST ALLIED HOLDINGS INC. SOLE SHAREHOLDER FAS HOLDINGS, INC. 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2011-11-01
ARETEC GROUP, INC. SOLE MEMBER CETERA FIRST HOLDINGS, INC. 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01
CETERA FIRST HOLDINGS, INC. SOLE MEMBER FIRST ALLIED HOLDINGS INC. 02/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2015-03-01
GIRARD SECURITIES, INC. HOLDING COMPANY indirect 2014-04-01
GIRARD SECURITIES, INC. SOLE MEMBER direct 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER indirect 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2014-06-01
LEGEND ADVISORY CORPORATION OWNER indirect 2014-06-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. OWNER indirect 2014-06-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2014-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC OWNER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC PARENT COMPANY direct 2014-02-01
HATTERAS FUNDS, LLC PRINCIPAL MEMBER / PARENT COMPANY direct 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01

FIRST ALLIED ADVISORY SERVICES, INC.

ownership team - last updated 2019-04-09
Name Title Start Date Direct/Indirect % Ownership
ANTONIADES, ADAM, NICHOLAS DIRECTOR 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
FAS HOLDINGS, INC. SOLE SHAREHOLDER 10/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 1994-10-01
HARRISON, BRETT, LAMAR CEO 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
SHELSON, MARK, PAUL TREASURER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
OLSON, GREGORY, EDWARD ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. ASSISTANT SECRETARY direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISORY SERVICES LLC ASSISTANT SECRETARY direct 2016-06-01
Schott, Mary, Frances PRESIDENT 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
BREGOZZO, MATTHEW, GREGORY CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2018-10-01
FIRST ALLIED HOLDINGS INC. SHAREHOLDER FAS HOLDINGS INC. 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2011-11-01
ARETEC GROUP, INC. SOLE MEMBER RCS CAPITAL HOLDINGS LLC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

FIRST ALLIED ADVISORY SERVICES, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
ANTONIADES, ADAM, NICHOLAS DIRECTOR 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
FAS HOLDINGS, INC. SOLE SHAREHOLDER 10/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 1994-10-01
HARRISON, BRETT, LAMAR CEO 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
SHELSON, MARK, PAUL TREASURER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
OLSON, GREGORY, EDWARD ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. ASSISTANT SECRETARY direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISORY SERVICES LLC ASSISTANT SECRETARY direct 2016-06-01
Schott, Mary, Frances PRESIDENT 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
BREGOZZO, MATTHEW, GREGORY CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2018-10-01
FIRST ALLIED HOLDINGS INC. SHAREHOLDER FAS HOLDINGS INC. 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2011-11-01
ARETEC GROUP, INC. SOLE MEMBER RCS CAPITAL HOLDINGS LLC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

FIRST ALLIED ADVISORY SERVICES, INC.

ownership team - last updated 2018-10-24
Name Title Start Date Direct/Indirect % Ownership
ANTONIADES, ADAM, NICHOLAS DIRECTOR 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
FAS HOLDINGS, INC. SOLE SHAREHOLDER 10/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 1994-10-01
HARRISON, BRETT, LAMAR CEO 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
SHELSON, MARK, PAUL TREASURER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
OLSON, GREGORY, EDWARD ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. ASSISTANT SECRETARY direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISORY SERVICES LLC ASSISTANT SECRETARY direct 2016-06-01
Schott, Mary, Frances PRESIDENT 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LPL FINANCIAL LLC MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING direct 2014-06-01
BREGOZZO, MATTHEW, GREGORY CHIEF COMPLIANCE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2018-10-01
FIRST ALLIED HOLDINGS INC. SHAREHOLDER FAS HOLDINGS INC. 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2011-11-01
RCS CAPITAL HOLDINGS LLC OWNER FIRST ALLIED HOLDINGS INC 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2015-03-01
GIRARD SECURITIES, INC. HOLDING COMPANY indirect 2014-04-01
GIRARD SECURITIES, INC. SOLE MEMBER direct 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER indirect 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2014-06-01
LEGEND ADVISORY CORPORATION OWNER indirect 2014-06-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. OWNER indirect 2014-06-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2014-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC OWNER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC PARENT COMPANY direct 2014-02-01
HATTERAS FUNDS, LLC PRINCIPAL MEMBER / PARENT COMPANY direct 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
ARETEC GROUP, INC. SOLE MEMBER RCS CAPITAL HOLDINGS LLC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

FIRST ALLIED ADVISORY SERVICES, INC.

ownership team - last updated 2017-12-19
Name Title Start Date Direct/Indirect % Ownership
ANTONIADES, ADAM, NICHOLAS DIRECTOR 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ROUND HILL SECURITIES, INC. PRESIDENT/CEO/DIRECTOR direct 2004-11-01
FIRST ADVISORS, INC. DIRECTOR direct 2007-01-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2010-08-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
CETERA ADVISORS LLC MANAGER direct 2015-05-01
FORWARDFRAME LLC PRESIDENT direct 2016-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. PRESIDENT, DIRECTOR, COO, SECRETARY direct 1994-10-01 2004-07-15
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2007-03-01 2007-07-25
FIRST ALLIED SECURITIES, INC. CHAIRMAN/CO CEO direct 2007-08-01 2008-03-18
FIRST ALLIED SECURITIES, INC. CHAIRMAN direct 2007-08-01 2008-03-28
FIRST ALLIED SECURITIES, INC. CEO/CHAIRMAN direct 2008-07-01 2010-10-08
FIRST ALLIED SECURITIES, INC. CEO direct 2010-08-01 2011-10-12
FIRST ALLIED SECURITIES, INC. CEO, DIRECTOR direct 2010-08-01 2014-03-28
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01 2016-02-08
LEGEND ADVISORY CORPORATION DIRECTOR direct 2016-08-01 2016-12-05
GRAHAM, LUANNE, MARIE CHIEF COMPLIANCE OFFICER 07/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. RIA CHIEF COMPLIANCE OFFICER direct 2007-02-01
ADVANCED EQUITIES ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
GREENBOOK INVESTMENT MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2010-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER & SECRETARY direct 2015-11-01
GIRARD SECURITIES, INC. ADVISORY CCO direct 2016-01-01
KEN STERN & ASSOCIATES INC COMPLIANCE OFFICER direct 2000-08-01 2001-10-10
ADVANCED EQUITIES ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2006-03-01 2006-05-23
FIRST ALLIED SECURITIES, INC. RIA CCO direct 2007-02-01 2013-10-09
GIRARD SECURITIES, INC. RIA CHIEF COMPLIANCE OFFICER direct 2016-01-01 2016-06-24
TOWER SQUARE INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-11-01 2017-07-13
FAS HOLDINGS, INC. SOLE SHAREHOLDER 10/01/1994 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE SHAREHOLDER direct 1994-10-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE SHAREHOLDER direct 1994-10-01
KEEFE, KEVIN, MICHAEL CHIEF EXECUTIVE OFFICER 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. PRESIDENT direct 2014-05-01
FIRST ALLIED ADVISORY SERVICES, INC. CHIEF EXECUTIVE OFFICER direct 2015-01-01
VISION2020 WEALTH MANAGEMENT CORP. PRESIDENT direct 2013-04-01
VISION2020 WEALTH MANAGEMENT CORP. PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2013-04-01
HARRISON, BRETT, LAMAR DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION DIRECTOR, PRESIDENT AND CEO direct 2003-10-01
MULTI-FINANCIAL SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT, DIRECTOR direct 2003-10-01
CETERA ADVISORS LLC DIRECTOR, PRESIDENT AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
CETERA ADVISORS LLC MANAGER AND CHEIF EXECUTIVE OFFICER direct 2009-10-01
VESTAX SECURITIES CORPORATION COO, SENIOR VICE PRESIDENT direct 2003-10-01
CETERA ADVISOR NETWORKS LLC MANAGER direct 2015-05-01
VSR FINANCIAL SERVICES, INC. DIRECTOR direct 2016-07-01
GIRARD SECURITIES, INC. DIRECTOR direct 2016-08-01
INVESTORS CAPITAL CORP. DIRECTOR direct 2016-07-01
FIRST ALLIED SECURITIES, INC. DIRECTOR direct 2016-08-01
LEGEND ADVISORY CORPORATION DIRECTOR direct 2015-05-01
IFG ADVISORY SERVICES INC COO/SENIOR VICE PRESIDENT direct 2003-10-01
CETERA INVESTMENT ADVISERS LLC MANAGER direct 2015-01-01
CETERA INVESTMENT ADVISERS LLC MANAGER, CEO, PRESIDENT direct 2015-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-07-01
SUMMIT FINANCIAL GROUP INC DIRECTOR direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. DIRECTOR direct 2016-07-01
BALLARD, JAMES, DAVID VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. DIRECTOR direct 2014-01-01
FSC SECURITIES CORPORATION DIRECTOR direct 2014-11-01
CETERA ADVISORS LLC VICE PRESIDENT direct 2016-07-01
CETERA ADVISOR NETWORKS LLC MANAGER AND VICE PRESIDENT direct 2016-07-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
ROYAL ALLIANCE ASSOCIATES, INC. DIRECTOR direct 2014-11-01
FIRST ALLIED SECURITIES, INC. OFFICER direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
SAGEPOINT FINANCIAL, INC. DIRECTOR direct 2014-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC MANAGER direct 2016-07-01
CETERA ADVISORY SERVICES LLC CHIEF OPERATIONS OFFICER direct 2016-06-01
SHELSON, MARK, PAUL TREASURER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
MULTI-FINANCIAL SECURITIES CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISORS LLC TREASURER direct 2016-07-01
FINANCIAL NETWORK INVESTMENT CORPORATION CHIEF FINANCIAL OFFICER AND TREASURER direct 2010-02-01
CETERA ADVISOR NETWORKS LLC TREASURER direct 2016-07-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT/ CHIEF FINANCIAL OFFICER direct 2002-06-01
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
BANCWEST INVESTMENT SERVICES, INC. VICE PRESIDENT/CHIEF FINANICAL OFFICER direct 2002-06-01
INVESTORS CAPITAL CORP. TREASURER direct 2016-07-01
BANCNORTH INVESTMENT GROUP, INC. DIRECTOR, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2002-06-01
FIRST ALLIED SECURITIES, INC. TREASURER direct 2016-08-01
LEGEND ADVISORY CORPORATION TREASURER direct 2014-12-01
CETERA INVESTMENT ADVISERS LLC TREASURER direct 2012-04-01
SUMMIT FINANCIAL GROUP INC TREASURER direct 2016-10-01
FIRST ALLIED ADVISORY SERVICES, INC. TREASURER direct 2016-07-01
CETERA INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER AND TREASURER direct 2012-11-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC TREASURER direct 2015-06-01
FORWARDFRAME LLC TREASURER direct 2016-06-01
SMILEY, STANLEY, ROBERT VICE PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2004-03-01
MULTI-FINANCIAL SECURITIES CORPORATION VICE PRESIDENT direct 2006-02-01
BANCNORTH INVESTMENT GROUP, INC. VICE PRESIDENT direct 2006-02-01
CETERA ADVISOR NETWORKS LLC VICE PRESIDENT direct 2007-11-01
CETERA INVESTMENT ADVISERS LLC VICE PRESIDENT direct 2012-04-01
CETERA INVESTMENT MANAGEMENT LLC VICE PRESIDENT direct 2012-11-01
FIRST ALLIED ADVISORY SERVICES, INC. VICE PRESIDENT direct 2016-07-01
INVESTORS CAPITAL CORP. VICE PRESIDENT direct 2016-07-01
VSR FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2016-07-01
FIRST ALLIED SECURITIES, INC. VP direct 2016-08-01
GIRARD SECURITIES, INC. VP direct 2016-08-01
SUMMIT FINANCIAL GROUP INC VICE PRESIDENT direct 2016-10-01
FINANCIAL NETWORK INVESTMENT CORPORATION VICE PRESIDENT direct 1999-04-01 2001-06-21
FINANCIAL NETWORK INVESTMENT CORPORATION SR. VICE PRESIDENT direct 2001-06-01 2005-10-03
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2005-02-01 2005-10-04
PRIMEVEST FINANCIAL SERVICES, INC. VICE PRESIDENT direct 2005-04-01 2007-03-29
ING FINANCIAL PARTNERS, INC VICE PRESIDENT direct 2008-03-01 2009-12-23
OLSON, GREGORY, EDWARD ASSISTANT SECRETARY 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST ALLIED ADVISORY SERVICES, INC. ASSISTANT SECRETARY direct 2016-07-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC ASSISTANT SECRETARY direct 2016-07-01
CETERA ADVISORY SERVICES LLC ASSISTANT SECRETARY direct 2016-06-01
FIRST ALLIED HOLDINGS INC. SHAREHOLDER FAS HOLDINGS INC. 11/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2011-11-01
LEGEND ADVISORY CORP SHAREHOLDER indirect 2013-01-01
FIRST ALLIED ADVISORY SERVICES, INC. SHAREHOLDER indirect 2011-11-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2011-11-01
RCS CAPITAL HOLDINGS LLC OWNER FIRST ALLIED HOLDINGS INC 06/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2015-03-01
GIRARD SECURITIES, INC. HOLDING COMPANY indirect 2014-04-01
GIRARD SECURITIES, INC. SOLE MEMBER direct 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER indirect 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. SHAREHOLDER indirect 2014-06-01
LEGEND ADVISORY CORPORATION OWNER indirect 2014-06-01
CETERA INVESTMENT ADVISERS LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. OWNER indirect 2014-06-01
FIRST ALLIED ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2014-06-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC OWNER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC PARENT COMPANY direct 2014-02-01
HATTERAS FUNDS, LLC PRINCIPAL MEMBER / PARENT COMPANY direct 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
ARETEC GROUP, INC. SOLE MEMBER RCS CAPITAL HOLDINGS LLC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISOR NETWORKS LLC SOLE MEMBER indirect 2014-04-01
VSR FINANCIAL SERVICES, INC. 100% OWNER indirect 2015-03-01
VSR FINANCIAL SERVICES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SOLE MEMBER indirect 2015-03-01
GIRARD SECURITIES, INC. SHAREHOLDER direct 2015-03-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
INVESTORS CAPITAL CORP. SOLE MEMBER indirect 2014-07-01
INVESTORS CAPITAL CORP. OWNER indirect 2014-07-01
FIRST ALLIED SECURITIES, INC. OWNER indirect 2014-07-01
LEGEND ADVISORY CORPORATION SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
CETERA INVESTMENT ADVISERS LLC SOLE MEMBER indirect 2014-04-01
SUMMIT FINANCIAL GROUP INC SHAREHOLDER; 100% OF COMMON STOCK indirect 2014-06-01
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-06-01
FIRST ALLIED ADVISORY SERVICES, INC. SOLE MEMBER indirect 2014-04-01
FIRST ALLIED ASSET MANAGEMENT, INC. SOLE MEMBER indirect 2014-04-01
TOWER SQUARE INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2014-04-01
TRILINC ADVISORS, LLC SOLE MEMBER indirect 2014-08-01
SCOTLAND ACQUISITION LLC OWNER indirect 2014-02-01
HATTERAS FUNDS, LLC MEMBER / OWNER indirect 2014-02-01
GREENBACKER CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2014-08-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER indirect 2014-04-01
CETERA ADVISORY SERVICES LLC SOLE MEMBER direct 2016-06-01

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