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Triad Advisors Hires Cetera’s Former Chief Compliance Officer

Triad Advisors Inc., a hybrid independent broker-dealer, announced that industry executive Bernie Breton joined the company as chief compliance officer.

Breton has spent nearly 30 years in the financial services industry, and prior to joining Triad, he served as chief compliance officer at Cetera Advisors, where he was responsible for overseeing the broker-dealer compliance program.

Prior to his time at Cetera, he was chief compliance officer for Carillon Investments for six years. Over the course of his career, he has also held executive positions with the NASD, AXA / The Equitable-Equico Securities, and MetLife.

“As we move into the new fiduciary era, it is more important than ever to provide our advisors with the leadership and expert guidance they need to achieve full compliance with laws and regulations while continuing to grow their businesses and serve clients to the best of their abilities,” said Jeff Rosenthal, president and CEO of Triad. “Bernie understands the strategic importance of the compliance function at Triad Advisors, and brings an unmatched level of expertise, judgment and experience to our leadership team. We look forward to all we will accomplish with Bernie on our team.”

Breton holds an master’s in business administration with a concentration in finance from the University of Tennessee at Chattanooga, where he also received his bachelor’s degree in Economics. He is a certified financial planner and holds his FINRA Series 7, 24, 63 and 65 securities registrations.

Headquartered in Atlanta, Georgia, Triad Advisors is a national, independent broker-dealer and multi-custodial sec-registered investment advisor. The company provides a platform of products, trading and technology systems, as well as customized wealth management solutions. Triad Advisors is a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS).

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