Solutions for the Modern Advisor

Ceros delivers a robust offering of services designed to meet the demands of today’s advisor. This offering is backed by a distinguished ownership and management group and a boutique feel, yet high level of service.


Our current clients include:

  • Fee-based advisors who custody and may also hold FINRA licenses
  • IARs of one of our corporate Registered Advisers
  • Sub-Advisers for our affiliated mutual funds - Advisors Preferred Instituational quality money managers trading through our outsourced trade desk

Ceros Financial Services

Ceros delivers a robust offering of services designed to meet the demands of today’s advisor. This offering is backed by a distinguished ownership and management group and a boutique feel, yet high level of service.


Our current clients include:

  • Fee-based advisors who custody and may also hold FINRA licenses
  • IARs of one of our corporate Registered Investment Advisers
  • Sub-Advisers for our affiliated mutual funds - Advisors Preferred Instituational quality money managers trading through our outsourced trade desk

Letter from CEO Mark Goldwasser, Chief Executive Officer

Ceros Family,

I am excited to introduce myself and the rest of the team following the announcement this summer of DWG's acquisition of Ceros Financial Services, Advisor Preferred and At-Cap. With Ceros's broker dealer platform, Advisor Preferred’s mutual fund advisory and distribution business and At-Cap's corporate RIA, our new company has become a formidable full-service wealth management boutique.

By way of background, DWG comprises myself, Chris Dewey and David Brown. What brings us together is our passion for building financial businesses. The three of us are excited about the tremendous opportunities we have before us at Ceros, expanding on what Catherine Ayers-Rigsby and the Ceros team have done to create an already terrific and uniquely-positioned wealth management platform.

I have known and worked with Chris Dewey for over 35 years in a variety of roles dating back to the high yield bond desk at Bear Stearns. Chris has over 40 years of financial services experience with deep expertise in venture tech and medical devices. In 2001, we started Robotic Ventures LLC, the first fund of its kind exclusively dedicated to robotics and artificial intelligence.

Chris has since gone on to achieve an exceptionally impressive venture track record. Of note, he was a founding board member and angel investor in Mako Surgical (acquired by Stryker for $1.65bn); founding board member and angel investor in Auris Surgical (acquired by Johnson & Johnson for $5.7bn); and he was the number 3 investor in Magic Leap (most recently valued at $6.3bn and the fastest company ever to achieve unicorn status). Earlier in his career, Chris was Executive Vice President at Jefferies LLC and Vice Chairman of the Board at National Securities Corp. He also co-founded Canon Films in 1965, acting as president for the first independent film studio and public company.

I have known and worked closely with David Brown in his time at Fidelity / National Financial Services, where he recently retired after a 38 year career in the business. David spent the better part of his career at Fidelity, where he rose to become National Sales Manager for broker-dealers, banks and trusts at Fidelity Investments Clearing and Custody Solutions, with responsibilities that included east coast retail and institutional clearing. David is well-known and extremely well-respected in his field and sat as Chairman of the Securities Industry Association Membership Committee from 2002 to 2007.

As for me, I led National Securities as its CEO from 2002 to 2016. In my tenure, we grew revenues from $40m to $200m, assets from $1bn to over $10bn and registered reps and advisors from 100 to 750 persons. I led the acquisitions of two public companies - VFinance (2008) and Gilman and Ciocia (2014) - leading National to be named the fastest growing Independent Broker Dealer in 2014. I served on the FINRA Membership Committee from 2011 to 2016. Furthermore, I was very involved in our unicorn private placement business where we used SPVs to allow HNW investors to participate in the secondary market for unicorns - something I'm excited to work on here at Ceros.

Chris, David and I are enthusiastic about adding investment opportunities for our existing advisors as well as attracting new advisors seeking comprehensive solutions for their discerning clients. David will focus on expanding the company’s core business of mutual funds, RIA and wealth management; Chris will concentrate on venture capital markets, leveraging his unique network in the medical devices arena; and I plan to work on building an SPV business, with an initial focus on Israeli venture tech.

  • Mark Goldwasser09/25/19

Letter from
CEO Mark Goldwasser, Chief Executive Officer

Ceros Family,

I am excited to introduce myself and the rest of the team following the announcement this summer of DWG's acquisition of Ceros Financial Services, Advisor Preferred and At-Cap. With Ceros's broker dealer platform, Advisor Preferred’s mutual fund advisory and distribution business and At-Cap's corporate RIA, our new company has become a formidable full-service wealth management boutique.

By way of background, DWG comprises myself, Chris Dewey and David Brown. What brings us together is our passion for building financial businesses. The three of us are excited about the tremendous opportunities we have before us at Ceros, expanding on what Catherine Ayers-Rigsby and the Ceros team have done to create an already terrific and uniquely-positioned wealth management platform.

I have known and worked with Chris Dewey for over 35 years in a variety of roles dating back to the high yield bond desk at Bear Stearns. Chris has over 40 years of financial services experience with deep expertise in venture tech and medical devices. In 2001, we started Robotic Ventures LLC, the first fund of its kind exclusively dedicated to robotics and artificial intelligence.

Chris has since gone on to achieve an exceptionally impressive venture track record. Of note, he was a founding board member and angel investor in Mako Surgical (acquired by Stryker for $1.65bn); founding board member and angel investor in Auris Surgical (acquired by Johnson & Johnson for $5.7bn); and he was the number 3 investor in Magic Leap (most recently valued at $6.3bn and the fastest company ever to achieve unicorn status). Earlier in his career, Chris was Executive Vice President at Jefferies LLC and Vice Chairman of the Board at National Securities Corp. He also co-founded Canon Films in 1965, acting as president for the first independent film studio and public company.

I have known and worked closely with David Brown in his time at Fidelity / National Financial Services, where he recently retired after a 38 year career in the business. David spent the better part of his career at Fidelity, where he rose to become National Sales Manager for broker-dealers, banks and trusts at Fidelity Investments Clearing and Custody Solutions, with responsibilities that included east coast retail and institutional clearing. David is well-known and extremely well-respected in his field and sat as Chairman of the Securities Industry Association Membership Committee from 2002 to 2007.

As for me, I led National Securities as its CEO from 2002 to 2016. In my tenure, we grew revenues from $40m to $200m, assets from $1bn to over $10bn and registered reps and advisors from 100 to 750 persons. I led the acquisitions of two public companies - VFinance (2008) and Gilman and Ciocia (2014) - leading National to be named the fastest growing Independent Broker Dealer in 2014. I served on the FINRA Membership Committee from 2011 to 2016. Furthermore, I was very involved in our unicorn private placement business where we used SPVs to allow HNW investors to participate in the secondary market for unicorns - something I'm excited to work on here at Ceros.

Chris, David and I are enthusiastic about adding investment opportunities for our existing advisors as well as attracting new advisors seeking comprehensive solutions for their discerning clients. David will focus on expanding the company’s core business of mutual funds, RIA and wealth management; Chris will concentrate on venture capital markets, leveraging his unique network in the medical devices arena; and I plan to work on building an SPV business, with an initial focus on Israeli venture tech.

  • Mark Goldwasser09/25/19

We’re Different

Combining our rich history of innovation and flexibility with a distinguished ownership and management team, we are optimally suited to help each advisor succeed.

While boutique in nature with our relationships and service model, we leverage the industry's biggest providers in their spaces to bring the advisor large-company resources and technology.

Learn More »

We’re Different

We’re Different

Combining our rich history of innovation and flexibility with a distinguished ownership and management team, we are optimally suited to help each advisor succeed.

While boutique in nature with our relationships and service model, we leverage the industry's biggest providers in their spaces to bring the advisor large-company resources and technology.

Learn More »

Ceros Management

Senior Executives

  • Angela Holland, CRCP®, CAMS

    CCO, Ceros Financial Services, Inc.

    Compliance Manager, Advisors Preferred

  • Brian Humphrey

    Director, Sales & Marketing

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Catherine Ayers-Rigsby, CFA

    President, Ceros Financial Services

    CEO, & President, Advisors Preferred

  • Daniel Gibson

    Trader/Dealer & Commissions Specialist

    Ceros Financial Services, Inc.

  • Isabelle Ayers-Rigsby, J.D.

    Compliance Officer

    Ceros Financial Services, Inc.

  • Jeff Meacham

    Senior Trader

    Ceros Financial Services, Inc.

  • Jon Greene

    Director of Trading Operations

    Ceros Financial Services, Inc.

  • Kerry Rawlerson

    Manager, Advisor Relations

    Ceros Financial Services, Inc.

  • Khin H. Mar

    Advisor Relations

    Ceros Financial Services, Inc.

  • Kim Powell

    Controller

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Melanie Dickerson

    Manager, Advisor Relations

    Ceros Financial Services, Inc.

  • Renee Phillips

    Administrator, Advisor Relations

    Ceros Financial Services, Inc.

  • R. Michael Fox

    CFO & CRO, Ceros Financial Services, Inc.

    CCO & CFO, Advisors Preferred

Ceros Management

Senior Executives



  • Angela Holland, CRCP®, CAMS

    CCO, Ceros Financial Services, Inc.

    Compliance Manager, Advisors Preferred

  • Brian Humphrey

    Director, Sales & Marketing

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Catherine Ayers-Rigsby, CFA

    President, Ceros Financial Services, Inc.

    CEO & President, Advisors Preferred

  • Daniel Gibson

    Trader/Dealer & Commissions Specialist

    Ceros Financial Services, Inc.

  • Isabelle Ayers-Rigsby, J.D.

    Compliance Officer

    Ceros Financial Services, Inc.

  • Jeff Meacham

    Senior Trader

    Ceros Financial Services, Inc.

  • Jon Greene

    Director of Trading Operations

    Ceros Financial Services, Inc.

  • Kerry Rawlerson

    Manager, Advisor Relations

    Ceros Financial Services, Inc.

  • Khin H. Mar

    Advisor Relations

    Ceros Financial Services, Inc.

  • Kim Powell

    Controller

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Melanie Dickerson

    Manager, Advisor Relations

    Ceros Financial Services, Inc.

  • Renee Phillips

    Administrator, Advisor Relations

    Ceros Financial Services, Inc.

  • R. Michael Fox

    CFO & CRO, Ceros Financial Services, Inc.

    CCO & CFO, Advisors Preferred

Fidelity Clearing & Custody Solutions

Our advisors enjoy access to the services offered by Fidelity Clearing & Custody Solutions (FCCS), a Fidelity Investments company. Through FCCS, you can leverage the strength of products, resources, services and technology offered by Fidelity, one of the world’s largest and most respected financial services firms, with $6.8 trillion in total client assets*

More Fidelity »

Fidelity Clearing & Custody Solutions

Our advisors enjoy access to the services offered by Fidelity Clearing & Custody Solutions (FCCS), a Fidelity Investments company. Through FCCS, you can leverage the strength of products, resources, services and technology offered by Fidelity, one of the world’s largest and most respected financial services firms, with $6.8 trillion in total client assets*

More Fidelity »

Build, Grow & Thrive with CEROS

Take your business to the next level with the subject-matter experience, custom support,
and comprehensive wealth management capabilities designed to help you succeed.

We are commited to your success. We do not share data.

If you’re a client and need assistance, please contact us directly at (866) 842-3356.
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