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Regulation and Compliance > Federal Regulation

Former Cetera CCO Breton Joins Triad Advisors

By Melanie Waddell

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Triad Advisors said Thursday that it has named Bernie Breton, former chief compliance officer for Cetera Advisors, as its new CCO.

Breton, who joined the company effective May 1, reports to Triad President and CEO Jeff Rosenthal.

“As we move into the new fiduciary era, it is more important than ever to provide our advisors with the leadership and expert guidance they need to achieve full compliance with laws and regulations while continuing to grow their businesses and serve clients to the best of their abilities,” said Rosenthal, in a statement. “Bernie understands the strategic importance of the compliance function at Triad Advisors, and brings an unmatched level of expertise, judgment and experience to our leadership team. We look forward to all we will accomplish with Bernie on our team.”

At Cetera Advisors, Breton was responsible for overseeing the broker-dealer compliance program. Prior to his time at Cetera, he CCO for Carillon Investments for six years.

He has also held executive positions with the NASD, AXA/The Equitable-Equico Securities and MetLife.

“Triad has established itself as a leader in supporting hybrid advisors, and I am very pleased to be part of their dynamic growth trajectory going forward,” Breton said in the statement. “As clients and regulators continue to expand their focus on transparent guidance that truly serves investors’ best interests, strong compliance capabilities will become more mission-critical than ever before for firms throughout the independent financial advice industry. I look forward to working with the Triad team to ensure Triad’s advisors have the compliance support they need to continue to build their businesses with confidence.”

Breton said the move to Atlanta from Denver enables he and his wife to be closer to family, including his daughter and granddaughter.

Breton holds an MBA with a concentration in finance from the University of Tennessee at Chattanooga, where he also received his B.S. in economics. He is a certified financial planner and holds Series 7, 24, 63 and 65 securities registrations. 

— Check out Triad Adds OSJ With 11 Reps, $5B in Assets: Recruiting Roundup on ThinkAdvisor.

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