We are an integrated financial services company principally focused on retail investors. We are engaged in the following businesses: the provision of retail advice through independent channel broker-dealers and registered investment advisers, wholesale distribution, investment banking, capital markets, investment management and investment research. Our retail advice business is conducted through a network of independent channel broker-dealers and registered investment advisers acquired during 2014 which operate collectively under the marketing brand of “Cetera Financial Group” (each individually, a “Retail Firm,” and, collectively, our “Retail Firms” or “Cetera Financial Group”). Each Retail Firm operates independently under its own brand and management, but with certain shared services with other Retail Firms. According to Financial Planning Magazine in June 2014, Cetera Financial Group is the second largest network of independent channel financial advisors in the United States based on the number of registered representatives associated with our Retail Firms. We believe the scope and scale of Cetera Financial Group provides substantial competitive advantages for our Retail Firms, allowing us to provide a broader range of investment products and advisory programs, and invest greater resources in financial advisor training and business development while creating a more attractive platform for the recruitment and retention of financial advisors.
Company profile
Ticker
RCAPQ
Exchange
Employees
Incorporated
Location
Fiscal year end
Industry (SIC)
SEC CIK
Corporate docs
IRS number
383894716
Latest filings (excl ownership)
15-12B
Securities registration termination
26 May 16
8-K
Bankruptcy or Receivership
25 May 16
8-K
Regulation FD Disclosure
4 May 16
RW
Registration withdrawal request
27 Apr 16
8-K
Regulation FD Disclosure
4 Apr 16
8-K
Regulation FD Disclosure
28 Mar 16
8-K
Entry into a Material Definitive Agreement
11 Feb 16
8-K
Departure of Directors or Certain Officers
10 Feb 16
8-K
Entry into a Material Definitive Agreement
4 Feb 16
8-K
Regulation FD Disclosure
1 Feb 16
Latest ownership filings
SC 13D/A
RCS Capital Corp
17 Feb 16
5
Annual statement of changes in insider ownership
16 Feb 16
SC 13G/A
RCS Capital Corp
16 Feb 16
SC 13D/A
RCS Capital Corp
11 Jan 16
SC 13D/A
RCS Capital Corp
11 Jan 16
3
BRADLEY E SCHER
7 Jan 16
4
Charles Thomas McMillen
28 Dec 15
4
MARK AUERBACH
28 Dec 15
4
Howell D Wood
28 Dec 15
4
JEFFREY J BROWN
28 Dec 15
Institutional ownership, Q3 2019
13F holders | Current |
---|---|
Total holders | 0 |
Opened positions | 0 |
Closed positions | 0 |
Increased positions | 0 |
Reduced positions | 0 |
13F shares | Current |
---|---|
Total value | 0.00 |
Total shares | 0.00 |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|