09.10.19

Former FINRA Director David A. Greene Appointed General Counsel for Cetera

LOS ANGELES, CA – Cetera announced today that David A. Greene has joined the company as General Counsel. Greene will be based at the company headquarters in El Segundo and report directly to Cetera’s Chairman of the Board and Interim Chief Executive Officer, Ben Brigeman.

Greene joins from FINRA, where he was Los Angeles District Office Director, bringing nearly three decades of experience as a practicing attorney, nineteen of which were within the financial services industry. As General Counsel for Cetera, Greene will serve as a member of the executive management team as the company’s chief legal officer. In this role, Greene will advise the Board and management team on legal and regulatory matters and help design and implement programs that facilitate superior compliance and governance practices. In addition, Greene will preside over legal issues involving Cetera member firms.

“David’s extensive knowledge of the broker-dealer space and experience as a leader within one of the country’s largest regulatory networks make him an ideal candidate to help structure our ongoing legal and compliance framework,” said Ben Brigeman. “In an era of unprecedented regulatory complexity, the ability to anticipate and prepare for the unexpected is increasingly at the heart of a successful corporate strategy. Firms that have access to the industry’s top legal talent are the ones best positioned to thrive in the years ahead. The addition of David to our leadership team highlights our ability to attract the best talent.”

Prior to his role as Los Angeles District Office Director, Greene served as Deputy and Regional Chief Counsel for FINRA’s West Region, where he presided over a high-profile Enforcement docket from the Los Angeles District Office and supervision of counsels and processes in Los Angeles, San Francisco, Denver and Seattle.

Greene stated, “I am thrilled to be joining an organization that is at the forefront of financial services. Cetera’s collaborative culture, proven leadership, and unique model have earned it great respect and recognition in the industry. I am looking forward to working with the executive team and our network of advisors to continue the company’s legacy of leadership in financial advice.”

Greene succeeds outgoing General Counsel Brian Stern, who announced he would be leaving the company earlier in the year. Stern will continue at Cetera through a transition period.

About Cetera Financial Group®

Cetera Financial Group (Cetera) is a leading financial services firm. It empowers the delivery of an Advice-Centric Experience® to individuals, families and businesses across the country through independent financial advisors as well as trusted tax professionals and banks and credit unions.

Comprehensive services include: wealth management solutions, retirement plan solutions, advisory services, practice management support, innovative technology, marketing guidance, regulatory support, and market research.

"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 and Summit Brokerage Services. All firms are members FINRA / SIPC.