Broker Check

First Allied & Cetera Consolidation

As previously announced our broker-dealer & registered investment adviser partner First Allied & Cetera Advisors are in the process of a consolidation expected to occur on September 12. 

The relationship we have with you, as our client, will not change. Our staff will remain the same and we will continue to have the privilege of working with and helping you pursue your financial objectives. Much of the transition work to migrate my affiliation to Cetera Advisors is taking place behind the scenes, and there will be very minimal impact to you. 

Further Note on Information Systems Transition for Our Practice

While your investments & our services remain exactly the same, the computer systems we use to service your accounts will go through a transition. We appreciate your patience in the days surrounding this conversion as our staff adjust. 

Our expectations around this conversion for our systems are as follows:

During the conversion weekend of September 9 through 12, access to most systems will be limited as your accounts are migrated to Cetera Advisors systems.


iPlan Client Portal (EMA)

You will continue to have access to your Financial Planning Client Portal. While we expect accounts held through Pershing to feed into the portal with updated values on September 12, there may be some delay in directly held accounts (e.g., annuities, 529 Plans, etc.) You and I will continue to have access to maintain these accounts, open new ones, to trade and to do business as usual. It is only the visibility of the accounts within the portal that is impacted over this limited period of time.

The Portal Remains the Clearest Way to View ALL of your Accounts Held with Our Practice.


Accounts Held at Pershing

Pershing accounts and positions will be moved over the weekend (Sept. 10-11) and be visible in all of our systems and portals.

NetXInvestor® - Online Statements & Documents

You will have continued access to your account documents online at using your current user ID and password. However, there will be a slight modification to how you log on. Beginning September 12, log on to NetXInvestor® using 3KZ (Cetera Advisors) as the “Financial Org #” instead of A1N (First Allied).

For your online safety, the first time you access your account on or after September 12, you will be asked to update your authentication information. You will be prompted to provide information for NetXInvestor’s One-Time Passcode (OTP) process. The OTP process protects your online information from unauthorized access by sending you a unique activation code when you log in from an unrecognized device, or if you forget your password.

Statement Change

While we use the same custodian, given we’re part of the same parent company, the statement layout between the two firms is a little different. When you receive your September statement in October, the logo will be different and some of the information will be in a different order from what you are used to. It will still contain all the same type of information you are accustomed to seeing, and we will be happy to go over it with you if you like.


A Note About Direct Business – Accounts NOT held at Pershing (annuities, 529 Plans, etc.)

Sometimes clients may have accounts custodied with insurance or fund companies directly. For these directly held accounts, you and I will continue to have access for maintenance, trading, and service requests (if applicable). However, the visibility of these accounts in our systems and portals will be impacted through this transition process. Our staff, and the staff at First Allied and Cetera Advisors, will be working closely with these companies to re-establish these information feeds as quickly as possible.


If you have any questions or concerns about this, please do not hesitate to contact me.

Our Staff are Available to Help Should
you Have Any Issues with Online Access.