June 2, 2026 | Issue 6 -26

Welcome to June!

Please join us in congratulating our advisors who have been recognized by Cetera with Circle of Excellence and Pinnacle status. These honors reflect meaningful business growth, strong client commitment, and the kind of leadership that elevates our entire community.

Recognition like this is not only a celebration of individual and team achievement, but also a reminder of the caliber of peers within our network.

Across Prosperity, we are fortunate to work alongside advisors who are growing, learning, sharing ideas, and setting a high bar for what is possible.

Congratulations to this year’s honorees, and thank you to everyone in our advisor community for the work you do every day to serve clients and strengthen our collective success.

Warm regards,

Angela

COE 2026 - Waimea, Hawaii

Back row, left to right: Kamden Trent, Adam Trent, Lochlan Trent, WIlliiam Easley, Dave Martin, Doug Lindley, Joe Pelle, Mike Argiro, Jenny Hemmer, Brad Hemmer, Rob Karwath, Craig Coen, Jeffrey Bellamy, Matt Houseworth, Ted Chibnall, Mike Isom, J.D. Schroen Front row, left to right: Megan Trent, Jamie Hemme, Jessica Franz-Martin, Jenny Kinsey, Michelle Pelle, Louise Argiro, Tina Watkins, Curt Coulombe, Paula Johnston, Angela Brill, Gautam Pai, Rhonda Pai, Andrea Houseworth holding Genevieve Houseworth, Hannah Chibnall, Jenny Schroen, Renae Coffman Very front: Marley & Knox Hemmer Photo credit: HawaiiMediaCollective

Here's what our president, Paula Johnston, said about COE: "What a fantastic time celebrating our Circle of Excellence qualifiers in Waimea, Hawaii! It was a wonderful opportunity to honor the hard work and achievements of our members and enjoy some fun-filled time together in paradise. Congratulations to our many qualifiers - we loved celebrating with you and your families!"

Photo credit: HawaiiMediaCollective and Adam Trent

Audit Tips

Your office receives an email from the Cetera Audit team to schedule an audit of your branch. What do you do now? Click here for tips to prepare for the audit and help your audit go more smoothly.

Click on the image to read Dianne Eggert's article about preparing for an audit.

Zoom Features

Do you use Zoom? Zoom is an approved vendor, but there are certain features that Cetera does not permit.

To see which features you should not be using, click HERE.

Onboarding

When onboarding a new person with Cetera, we recommend choosing an immediate start date. If you choose a future start date, Cetera will not officially affiliate that person until the day you have chosen. This means they would not have any Cetera system accesses on their start date, which can hinder the first day of training. For any questions related to onboarding, please contact ops@prosperityadvisors.com or call 913-529-5500, option 1.

Celebrating InFocus Financial Advisors!

Congratulations to Eric Johnston, CFP® and team at InFocus Financial Advisors on their 20th Anniversary! We are proud to have you in our network and look forward to celebrating many more milestones with you!

Signature Guarantee Guidelines

Cetera recently updated their Signature Guarantee Guidelines. For example, it is not permitted to Signature Guarantee the signature of a beneficiary who is not currently a Cetera client, will not become a client of Cetera, and will only receive funds directly from the deceased owner’s account.

Although this guide is written for those who hold a Signature Guarantee Stamp, the guidelines are important to anyone who requests that Cetera signature guarantee a document.

Access Cetera's Signature Guarantee Guidelines and FAQ document HERE.

FINRA Rules and Policies - Do They Really Matter?

May 2026 FINRA Real-World Discipline Examples

If you ever wonder whether all the rules and policies really matter, they DO! Let's look at some recent FINRA enforcement cases.

Read Full Article

Securities and advisory services offered through Registered Representatives of Cetera Advisors LLC (doing insurance business in CA as CFGA Insurance Agency LLC), member FINRA/SIPC, a broker dealer and Registered Investment Advisor.

Cetera is under separate ownership from any other named entity.

For internal use only.