Steve Dunlap

Chief Executive Officer

Steve Dunlap is the Chief Executive Officer of Cetera Investment Management, an SEC-registered investment adviser owned by Cetera Financial Group. He is also Executive Vice President of Wealth Management at Cetera Financial Group. Mr. Dunlap is responsible for leading the strategic expansion of Cetera Financial Group’s comprehensive wealth management services, including investment research and asset management. As such, he defines the business strategy and vision for Cetera.

Before joining Cetera Investment Management and Cetera Financial Group, Steve was a managing director for Pershing, a BNY Mellon company, and served as president of the firm’s Managed Investments business and president & CEO of Lockwood Advisors. He was responsible for the advisory, asset management; relationship management, product strategy, operations and technology functions related to delivery of managed investment solutions to Pershing’s broker-dealer and registered investment adviser customers.

Prior to joining Pershing, Steve served as president of Finetre Corporation, a venture-funded technology startup. There, he positioned the firm as a leading provider of online annuity and life insurance transaction processing, workflow management and regulatory compliance platforms to major brokerage firms and insurance companies. Before that he was executive vice president at Thomson Financial, where he was responsible for managing the business unit that pro- vided mutual fund and annuity research and illustration technology to major broker-dealers and registered investment advisers. Steve began his career at First Virginia Bank and later was a broker at Legg Mason Wood Walker, Inc.

Steve is active with the Financial Services Institute and the Money Management Institute, where he serves on the Board of Governors.

Steve earned a Bachelor of Arts degree in philosophy and economics from the College of William and Mary. He holds series 7, 24 and 66 securities registrations.

Note: Cetera Investment Management LLC is a registered investment adviser owned by Cetera Financial Group®. It provides investment research, portfolio and model management, and investment advice to its affiliated broker-dealers, dually-registered broker-dealers and registered investment advisers.

Cetera Investment Management LLC individuals who provide investment management and advisory services are not associated persons with any broker/dealer.