Triad Advisors Announces Veteran Compliance Executive Bernie Breton Has Joined Company As Chief Compliance Officer
Experienced Industry Leader Further Strengthens Triad's Compliance Capabilities as Company Looks Ahead to 'Fiduciary Era'
ATLANTA, June 8, 2017 /PRNewswire/ -- Triad Advisors, Inc., the hybrid advisor-focused independent broker-dealer, today announced that respected industry executive Bernie Breton has joined the company as Chief Compliance Officer. Mr. Breton's extensive knowledge and experience in the compliance space are expected to further strengthen Triad's ability to guide its advisors through the current environment of regulatory uncertainty, positioning them to thrive as clients' and regulators' expectations for transparency and alignment between advisors' and clients' interests continue to grow. Mr. Breton joined the company effective May 1, reporting directly to President and CEO Jeff Rosenthal.
Mr. Breton has amassed a strong track record of leadership and compliance expertise during his nearly 30-year career in the financial services industry, and brings a wealth of knowledge to his new role. 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.
Jeff Rosenthal, President and CEO of Triad Advisors, said, "We are pleased to announce Bernie Breton has joined the Triad Advisors team as our new Chief Compliance Officer. 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. 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."
Mr. Breton holds an MBA with a Concentration in Finance from the University of Tennessee at Chattanooga, where he also received his BS in Economics. He is a Certified Financial Planner (CFP) and holds his Series 7, 24, 63 and 65 securities registrations. The move to Atlanta from Denver, CO enables Mr. Breton and his wife to be closer to family, including his daughter and granddaughter.
Bernie Breton said, "I am excited to join Triad Advisors as Chief Compliance Officer. Triad has established itself as a leader in supporting hybrid advisors, and I am very pleased to be part of their dynamic growth trajectory going forward. As clients and regulators continue to expand their focus on transparent guidance that truly serves investors' best interests, strong compliance capabilities will become more mission-critical than ever before for firms throughout the independent financial advice industry. I look forward to working with the Triad team to ensure Triad's advisors have the compliance support they need to continue to build their businesses with confidence."
About Triad Advisors
Headquartered in Atlanta, GA, Triad Advisors, Inc. is a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor (RIA) that is an early pioneer and continued leader in the Hybrid RIA marketplace. The company provides a comprehensive platform of products, trading and technology systems, as well as customized wealth management solutions. Recognized as one of the most successful and fastest-growing independent broker-dealers in the industry (including being named the leading broker-dealer for Hybrid RIAs seven years in a row by Investment Advisor Magazine), Triad Advisors is a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS). For more information, please visit www.triad-advisors.com.
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SOURCE Triad Advisors, Inc.
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