Joseph Neary

Joseph Neary is the Chief Risk Officer for Cetera Financial Group. In this role, Joe is responsible for ensuring a holistic risk picture across the firms in the Cetera Financial Group network. He leads a team of risk management professionals that include compliance, supervision, product due diligence and the trading desk, providing advice and guidance regarding regulatory matters and other risk issues impacting the firms and its registered broker-dealers and investment advisory firms.

Joe started his career in financial services in 1997 as a compliance officer and counsel at Prudential Financial and Marsh & McLennan, where his responsibilities included focusing on the oversight of wholesaling broker-dealer activities, product manufacturing, capital raising and retirement services.  Joe was formerly the Royal Alliance CCO and Investment Advisory CCO for Advisor Group as well as the CCO of Park Avenue Securities.   Joe has also been a compliance officer for AIG SunAmerica Asset Management and served as the CCO for AIG Capital Services, the principal underwriter for SunAmerica Products.

Joe earned his L.L.M. in international business transactions from McGeorge School of Law and his J.D. from Widener University Law School He holds 7, 24, 53 and 66 securities registrations. Joe is licensed to practice law in New York and New Jersey.