Cetera Financial Group says it has appointed Brian A. Stern to be its general counsel. Stern, who previously worked for the independent broker-dealer HD Vest in Dallas, will be based in Los Angeles and report to Cetera CEO Robert Moore.
Cetera includes Cetera Advisors, Cetera Advisor Networks, Cetera Investment Services/Cetera Financial Institutions, Cetera Financial Specialists, First Allied Securities, Girard Securities and Summit Brokerage Services.
“I’m excited to welcome Brian to Cetera, and I look forward to working closely with him going forward. Brian’s extensive experience in providing strategy and support for independent firms on the widest possible range of regulatory and legal matters makes him an ideal addition to our organization,” Moore said in a statement.
“As legal and regulatory complexities continue to intensify, it’s crucial that independent firms bring in top legal talent with a proven track record for helping to identify and manage key issues that are shaping our industry’s future, and to advocate for our advisors and their clients,” he said.
HD Vest recently announced some personnel news of its own: Bob Oros, former head of Fidelity Clearing & Custody Solutions’ RIA business, is set to become its CEO on Tuesday.