Gregory Brackett Email and Phone Number

BAR Financial, LLC, is an independently owned and managed financial services firm that partners with independent financial advisors and financial institutions who desire to grow their brokerage and advisory business more efficiently. Registered Representative of Cetera Advisor Networks LLC (doing insurance business in CA as CFGAN Insurance Agency), member FINRA/SIPC. BAR Financial LLC is a region of Cetera Advisor Networks LLC. CA Insurance License #0E01302

Managed advisors in both the Financial Advisor Division (FAD), and the Financial Institution Division (FID). Co-Managed Financial Institutions (FI) in a Region producing more than $50M in Gross Dealer Concession. Strong Interagency Statement and Letter 150 interpretation and application on retail sales of non-deposit investment products within FI Channel. Responsible for recruiting, training, transitioning of new financial consultants. Designed and implemented custom business plans for FAD and FID representatives. Project Manager for transition team during broker-dealer acquisition. Oversaw and conducted over 100 annual hands-on training and educational programs. Guided account transfer process, systems training, license/registration transfer, and policy and procedure review for all new representatives. Mentored new Registered Principles during probationary period, focusing on account review, forms processing, utilizing resources, and sales office inspections.Registered Representative of Cetera Advisor Networks LLC (doing insurance business in CA as CFGAN Insurance Agency), member FINRA/SIPC. BAR Financial LLC is a region of Cetera Advisor Networks LLC. CA Insurance License #0E01302

Managed advisors in both the Financial Advisor Division (FAD), and the Financial Institution Division (FID). Co-Managed Financial Institutions (FI) in a Region producing more than $50M in Gross Dealer Concession. Strong Interagency Statement and Letter 150 interpretation and application on retail sales of non-deposit investment products within FI Channel. Responsible for recruiting, training, transitioning of new financial consultants. Designed and implemented custom business plans for FAD and FID representatives. Project Manager for transition team during broker-dealer acquisition. Oversaw and conducted over 100 annual hands-on training and educational programs. Guided account transfer process, systems training, license/registration transfer, and policy and procedure review for all new representatives. Mentored new Registered Principles during probationary period, focusing on account review, forms processing, utilizing resources, and sales office inspections. Registered Representative of Cetera Advisor Networks LLC (doing insurance business in CA as CFGAN Insurance Agency), member FINRA/SIPC. BAR Financial LLC is a region of Cetera Advisor Networks LLC. CA Insurance License #0E01302

Monitor investment portfolios and test for compliance with investment restrictions derived from fund disclosure, regulatory and contractual requirements. Conducted daily, periodic and special compliance reviews.

Perform daily portfolio compliance analysis of portfolios covering a wide array of investment strategies. Investigate and research compliance exceptions and perform manual monitoring as required. Complete testing of investment advisor activity to identify potential regulatory and / or policy violations.