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Why exactly Valerie Brown is out of a job at Cetera -- and Larry Roth is in

Nicholas Schorsch and his CEO may have differed on the way forward as Cetera's inorganic growth runs full tilt

Author Lisa Shidler May 14, 2014 at 4:54 AM
no description available
Nicholas Schorsch: It wasn't what we both wanted. Fortunately or unfortunately there can only be one person in charge.

Women of Wealth Management

Stephen Winks

Stephen Winks

May 14, 2014 — 9:16 PM

Here we go again. Caution on non-traded REITS is a wise call, and running independent broker/dealers fast and loose has been the downfall of many, many, IB/Ds. Sometimes inexperienced brokers do not know any better, same for independent firms with no discipline where anything goes. Remember how Roth ran off the highly regarded Joby Gruber at FSC and an experienced replacement CEO with great experience from AG Edwards.

Be careful, when anything goes as advisor reputations are at stake and they don’t know it.


Javier Rykerfield

Javier Rykerfield

June 4, 2014 — 5:35 PM

Mr Winks- So you say “Roth ran off Gruber?” The facts of this situation are detailed on FINRA brokercheck, so before you state untruths make sure you have your facts straight.

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Mentioned in this article:

Tiburon Strategic Advisors
Consulting Firm
Top Executive: Charles Roame

FSC Securities Corporation
RIA-Friendly Broker-Dealer
Top Executive: Jerry Murphy

Cetera Financial Group
RIA-Friendly Broker-Dealer
Top Executive: Larry Roth

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