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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 2026-03-19
  • AL RA
    APPROVED
    Since 2026-03-19

Branch Locations

361 Military Street South, Hamilton, AL 35570 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First National Bank Hamilton AL 05/2001 Present
Lpl Financial Llc Hamilton AL 10/2011 03/2026
Cetera Investment Services Llc Saint Cloud MN 03/2026 Present
Cetera Investment Advisers Llc Hamilton AL 03/2026 Present
  • 05/2001 → Present
    First National Bank
    Hamilton, AL
  • 10/2011 → 03/2026
    Hamilton, AL
  • 03/2026 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 03/2026 → Present
    Hamilton, AL
Previous Registrations
  • 2011-10-11 → 2026-04-01
    Hamilton, AL
  • 2008-08-12 → 2011-10-11
    Uvest Financial Services Group, Inc.
    Hamilton, AL
    Berry, AL
    Haleyville, AL
    Hamilton, AL
Other Businesses

1.) MEMBER OF BOARD OF DIRECTORS AT FIRST NATIONAL BANK; ATTEND MEETINGS, SET POLICIES AND GUIDELINES FOR BANK. 2.) SALE OF FIXED INSURANCE OUTSIDE OF CETERA THROUGH FRED OSBORN'S INDEPENDENT MARKETING ORGANIZATIONS, OSBORN INSURANCE CORPORATION, AND OSBORN INSURANCE GROUP. 3.) OWNER OF HARRIS INC; SHELL COMPANY; NOT CURRENTLY IN USE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-02-08
  • S63 Uniform Securities Agent State Law Examination
    2002-02-08

View on SEC IAPD

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