March 26, 2024

Cetera Bolsters Legal Team with New Hires and Additional Internal Staff

Press Room Cetera Bolsters Legal Team with New Hires and Additional Internal Staff

Growth and expanded resources underscore Cetera's commitment to legal and regulatory compliance in service to financial professionals

SAN DIEGO, March 26, 2024 /PRNewswire/ -- Cetera Financial Group (Cetera), the premier financial advisor Wealth Hub, announced today that it has expanded its legal team to include a key new hire as well as multiple internal promotions and transitions into the department. The growth signals Cetera's commitment to serving advisors with industry-best legal resources in an increasing regulatory environment. The changes include:

  • Scott Kirwin joins Cetera as Deputy General Counsel, where he will focus on retirement and collaborate with multiple internal teams, including M&A integration, advisory products, and platforms. Kirwin comes to Cetera with an extensive background in investments and brokerage firms, having spent more than 15 years in the legal department at Fidelity Investments. Kirwin attended Harvard Law School and holds a bachelor's degree in political science and history from Northeastern University.
  • Jeremy Carr has been promoted to the role of Deputy General Counsel. In this new role, he joins the legal leadership team and will expand his business support leadership to cover multiple departments firm wide. Carr joined Cetera's legal department in 2016 and previously served as Senior Counsel and Chief Counsel. He attended UCLA School of Law and holds a bachelor's degree in history from University of California, Berkeley. 
  • Winnie Lee is Deputy General Counsel and will lead M&A efforts and special projects while overseeing an experienced team of transactional attorneys. Lee joined Cetera's legal department in 2021 after serving as Deputy General Counsel for Fir Tree Partners, a New York-based private investment firm that invests worldwide in public and private companies, real estate and sovereign debt. Lee attended Brooklyn Law School and holds a bachelor's degree from University at Buffalo.
  • Mark Quinn, Cetera's Head of Regulatory Affairs since 2015, transitioned to the legal team from Cetera's risk department. Quinn is Cetera's primary representative for outreach to regulatory agencies and legislative bodies regarding development of law and policy and has more than 40 years of legal experience. He previously served as chief risk officer for First Allied Securities and holds an MBA and Doctor of Law (J.D.) from University of Denver.

"In today's increasing regulatory environment, we are committed to delivering the best legal service possible to help Cetera and our advisors achieve their collective goals," said Lisa Gok, Chief Legal Officer at Cetera. "With these new appointments, I am confident that Cetera's legal department represents a powerful team that is comprised of the industry's best and brightest legal minds. I am pleased to welcome these talented individuals to the team, where their contributions will be critical to Cetera's continued success growing and serving our financial professionals."

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About Cetera

Cetera Financial Group, which is owned by Cetera Holdings (collectively, Cetera), is the premier financial advisor Wealth Hub where financial advisors and institutions optimize their control and value creation. Breaking away from a commoditized and homogenous IBD model, Cetera offers financial professionals and institutions the latest solutions, support, and services to grow, scale, or transition with a merger, sale, investment, or succession plan. Cetera proudly serves independent financial advisors, tax professionals, licensed administrators, large enterprises, as well as institutions, such as banks and credit unions, providing an established and repeatable blueprint for scalable growth.

Home to more than 12,000 financial professionals and their teams, Cetera oversees more than $475 billion in assets under administration and $190 billion in assets under management, as of December 20, 2023. In a recent advisor satisfaction survey of more than 32,000 reviews, Cetera's Voice of Customer (VoC) program vigorously measures advisor experience and satisfaction 24/7. Currently, it's ranked 4.8 out of 5 stars.

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"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), and Cetera Financial Specialists LLC. All firms are FINRA/SIPC members. Located at: 655 W. Broadway, 11th Floor, San Diego, CA 92101.

SOURCE Cetera Financial Group