Broker Check

About CCM for Advisors

Earning Your Trust And Keeping It Is At The Core Of What We Do.

We understand no one wants to go it alone and that change is difficult. That’s why we help advisors shoulder the challenges and nurture the opportunities that come with change.

We know that our advisors became independent because they want to run their business their way. And we are here to support that. Our goal is to support successful and up-and-coming independent financial advisors. Our unique organization is designed to provide back-office support, customer service, risk management and forward thinking solutions. Advisors can expect high touch, personal service along with the control needed to operate your business. 

Trust:

Trust is the very essence of your client relationships. We help you earn their trust and create an exceptional client experience by providing you with unparalleled service, premier sales, marketing, training and operations support– so you can focus solely on them.

We are backed by one of the largest independent broker dealer groups, Cetera Advisor Networks, and its parent Cetera Financial Group. Through Cetera you’ll also have access to a broad range of award-winning products and services. Cetera offers a highly acclaimed technology platform, pro-active research, comprehensive due-diligence, training, and industry-leading marketing programs. 

History of the Region and Evolution:

My region evolved from the old Walnut Street Securities side when Cetera Advisor Networks purchased them from MetLife. We started this firm back in 1994 with my current business partner, Joe Norris. Joe and I have known each other so long, he came to my college graduation in 1983 as a friend of my brothers. Soon after, he became my boss for 10 years, then eventually business partner. Our first venture of creating a region was in 2002 when we brought on a small B/D that was closing down in Denver. As time went on, we slowly added individuals and branches as the opportunity presented itself. As a producing manager, I could not devote more time to attracting and recruiting, until we had the office infrastructure to help me leverage my time and energy.  As technology and rules changed, it allowed for additional capacity, thus adding additional FA’s helped grow our office family.

My ultimate goal was to have a great group of individuals that could feed off of each other’s strengths, share ideas, and enjoy what we do together. It’s been said, if you want to go fast, go alone, but if you want to go far, go together.  Joe and I learned from the owner of the B/D we originally came from saying, “we are in a serious business, but you don’t have to be gloom about it every day.” We took this to heart as we have tried to create a family atmosphere, whether you are a branch outside of Louisville or located in our local OSJ office.  Our culture is to advocate for FA’s and emotional connect with most of our employees.

Part of the important foundation is with our assistants who are securities licensed or studying to be. Rosemary, my office operations manager, has been with us since 1997.  We call her “the boss,” since she always knows how to get difficult things done. Stephanie who started five years ago, I call the pleaser. She constantly, strives to not only do what is asked, but anticipate your needs. Clare is our newest assistant of two years, learning the ropes and currently studying for her securities license. Each one of them have previously worked in the banking industry. This was not an accident, I believe their background works perfectly with our industry. They have people skills, know forms and is compliance driven, just like us.  Joe Richardson, who just started, is our firms marketing specialist. His unique skill set allows us to stay current in this ever changing electronically driven society.  Joe helps with all our FA’s with marketing. He assists in design and communication for advertising review to get approval. Rarely do you have an in-house marketing person within an OSJ or Region, specifically to help all advisors with advertising, art design, social media, websites, to help promote their own brand.  

Getting To Know CCM:

Currently, we are challenged with physical space, thus taking the risk to purchase space to accommodate expansion. It is always a bit scary to commit to something that you do not know 100% of the future. Lee Iacocca, CEO of Chrysler once said, “a good leader, makes the hard decisions when only 85% of the facts are in. As a small business owner, we take on risks every day. It almost becomes second nature and you become more accustomed to what is calculated or speculative. Part of the confidence comes through knowing Cetera Advisor Networks, is doing their part to assist in our growth through recruiting efforts, marketing and technological changes.

Region Value Proposition:  We strive to be that advocate for all of our FA’s. Many are one-man offices and some could feel as though they could get lost in the crowd of the many hundreds or thousands that are within a B/D.  We promise to be the friendly personal voice to help them with their issue and not be lost or feel as though they are alone in this overwhelmingly compliance driven industry.

Our local back office culture allows the B/D to shrink in size, allowing our FA’s to reach out to us with a personal touch, versus an 800 number of someone they do not know.  The bottom line, FA’s want to advise their clients well and efficiently, without time wasting challenges.  We take ownership of their needs!  

Regional Structure:  The main hub of our Region is in Louisville KY. We have OSJ branches in South Carolina and branch offices in Denver, Oklahoma, Kentucky and Indiana.

FID Representation:  When we were with a previous B/D, we had a banking program back in the 90’s. For our particular group, it was not fruitful arrangement. Times have changed, thus could allow us to revisit if the opportunity presented itself.  

Annual Meetings Hosted/Events:  We are not quite at the size where we have regional meetings bringing in from different states. We usually let the Cetera conference, be our opportunity to have one-on-one and small group conversations facilitate our meeting goals. We do pick certain FA’s that would not go, due to cost, thus we pay their way so they can have the opportunity to experience and learn from the event.