Cetera Expands Leadership for Wealth Management Team

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Alex Kaye joins as vice president - research; Kian Rafia hired as director of advisory products

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This rich combination of intellectual capital reinforces our drive toward best-in-class services and the unique ability to deliver greater choice and flexibility for advisors

Cetera Financial Group (Cetera) announced today the hiring of two new executives for its wealth management team. Alex Kaye joins as vice president - research, responsible for all internal and third-party research, and Kian Rafia joins as director of advisory products, responsible for building industry-leading, innovative products.

“Cetera is committed to delivering sophisticated, customizable solutions that enable advisors to focus on providing superior client service,” said Barnaby Grist, Cetera’s executive vice president, wealth management. “As we build upon our current research capabilities and product offerings, Alex and Kian will help us achieve our vision of creating the optimal wealth management platform providing advisors with the best external and internal research and advisory products in the business.”

In his new role, one of Kaye’s first priorities is establishing a research team to assist in expanding Cetera’s research offerings. He will report directly to Grist.

Previously, Kaye spent the last three-plus years with Wilshire Associates as senior portfolio manager, vice president and Investment Committee member. He was responsible for managing Wilshire-branded multi-manager mutual funds in addition to developing market and performance commentary and white papers. He also managed global asset allocation and single asset class portfolios for select financial intermediaries.

Prior to Wilshire, Kaye was a portfolio manager for Ibbotson Associates, where he managed target-risk and target-date portfolios, active/passive portfolios, and pre-tax and after-tax portfolios. Kaye also spent five years in client service roles with UBS Global Asset Management and several years in analyst roles with Ellwood Associates and SEI Capital Resources. He holds a Chartered Financial Analyst certification and is a candidate for Chartered Alternative Investment Analyst accreditation.

Rafia, in a newly created role, will focus on extending Cetera’s wealth management platform to optimally serve advisors and their clients in today’s challenging and dynamic market environment. He brings to Cetera a decade of experience developing and managing product offerings to meet diverse client needs. Rafia will report to Mark Palmer, Cetera’s national sales manager.

Previously, Rafia was senior analyst, investment products and platform, at LPL Financial, where he oversaw the strategic and tactical product development efforts for its advisory platform, separately managed accounts, unified managed accounts and mutual fund wrap program. He also facilitated the sourcing and development of products through LPL’s sales channels. Prior to LPL, Rafia was director, product marketing, for Lord Abbott & Co.

“At Cetera, we continue to strengthen the core of our wealth management team, and we have cherry-picked top industry talent to ensure a breadth of perspectives and experience,” said Cetera CEO Valerie Brown. “This rich combination of intellectual capital reinforces our drive toward best-in-class services and the unique ability to deliver greater choice and flexibility for advisors.”

About Cetera Financial Group
Based in Los Angeles, Cetera Financial Group provides comprehensive broker-dealer services, innovative technology, and competitive advisory programs for approximately 5,000 independent financial professionals and more than 700 financial institutions affiliated with its three independently managed broker-dealers: Financial Network Investment Corporation, Multi-Financial Securities Corporation, and PrimeVest Financial Services Inc.

Committed to using our collective knowledge and expertise in service to and for others, Cetera is focused on the growth of our affiliated financial professionals’ practices and strengthening their relationships with their clients. For more information about Cetera Financial Group, please visit http://www.cetera.com.


Jayson Hron
Tel: 320-529-4506

Carol Graumann
Tel: 973-732-3521

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