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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-09-16
  • AL RA
    APPROVED
    Since 2024-09-16

Branch Locations

3548 Highway 431 North, Phenix City, AL 36867 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bbtis Columbus GA 10/2014 01/2018
Bb&T Securities, Llc Phenix City AL 01/2018 01/2018
Compass Bank Birmingham AL 01/2018 08/2021
Bbva Securities Inc. Eufaula AL 01/2018 08/2021
Bbva Compass Insurance Agency, Inc. Austin TX 01/2018 08/2021
Bbva Wealth Solutions, Inc. Eufaula AL 01/2018 08/2021
Pnc Investments Opelika AL 08/2021 10/2021
Wells Fargo Clearing Services, Llc Atlanta GA 10/2021 09/2024
Regions Bank Phenix City AL 09/2024 Present
Cetera Investment Services Llc Saint Cloud MN 09/2024 Present
Cetera Investment Advisers Llc Phenix City AL 09/2024 Present
  • 10/2014 → 01/2018
    Bbtis
    Columbus, GA
  • 01/2018 → 01/2018
    Bb&T Securities, Llc
    Phenix City, AL
  • 01/2018 → 08/2021
    Compass Bank
    Birmingham, AL
  • 01/2018 → 08/2021
    Bbva Securities Inc.
    Eufaula, AL
  • 01/2018 → 08/2021
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 01/2018 → 08/2021
    Bbva Wealth Solutions, Inc.
    Eufaula, AL
  • 08/2021 → 10/2021
    Pnc Investments
    Opelika, AL
  • 10/2021 → 09/2024
    Atlanta, GA
  • 09/2024 → Present
    Regions Bank
    Phenix City, AL
  • 09/2024 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 09/2024 → Present
    Phenix City, AL
Previous Registrations
  • 2021-10-08 → 2024-09-19
    Atlanta, GA
    Columbus, GA
    Duluth, GA
    Columbus, GA
    Columbus, GA
    Phenix City, AL
  • 2021-08-18 → 2021-10-13
    Charlotte, MI
    Opelika, AL
    Eufaula, AL
    Auburn, AL
  • 2018-01-22 → 2021-08-17
    Pnc Managed Account Solutions, Inc.
    Opelika, AL
    Auburn, AL
    Eufaula, AL
  • 2018-01-02 → 2018-01-05
    Bb&T Securities, Llc
    Charlotte, NC
    Columbus, GA
    Auburn, AL
    Opelika, AL
    Valley, AL
    Phenix City, AL
    Phenix City, AL
    Birmingham, AL
    Columbus, GA
  • 2014-10-10 → 2018-01-02
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Columbus, GA
    Columbus, GA
    Auburn, AL
    Opelika, AL
    Valley, AL
    Phenix City, AL
    Phenix City, AL
    Tallassee, AL
    Homewood, AL
    Lafayette, AL
    Columbus, GA
  • 2009-12-02 → 2014-10-10
    Truist Investment Services, Inc.
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Columbus, GA
    Lagrange, GA
  • 2006-11-27 → 2009-11-18
    Columbus, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-04
S63 Uniform Securities Agent State Law Examination 1988-05-05
  • S65 Uniform Investment Adviser Law Examination
    1997-12-04
  • S63 Uniform Securities Agent State Law Examination
    1988-05-05
Other Names
  • Andy Kelley
  • Wheat Andrew Kelley
  • Wheat Kelley

View on SEC IAPD

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