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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
TX RA APPROVED_RES 2025-04-01
AL RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • AL RA
    APPROVED
    Since 2025-02-20

Branch Locations

100 Old Town Road Suite 200, Vestavia, AL 35216 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Concourse Financial Group Securities Inc Vestavia AL 04/2012 02/2025
(Dba) All Choice Insurance Grp (Moore Insurance & Financial Svc) Vestavia AL 12/2012 Present
Cetera Wealth Services, Llc Vestavia AL 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 04/2012 → 02/2025
    Concourse Financial Group Securities Inc
    Vestavia, AL
  • 12/2012 → Present
    (Dba) All Choice Insurance Grp (Moore Insurance & Financial Svc)
    Vestavia, AL
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Vestavia, AL
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2012-05-04 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
    Vestavia, AL
    Birmingham, AL
  • 2011-07-22 → 2012-04-13
    Birmingham, AL
    Birmingham, AL
Other Businesses

1) (dba) ALL CHOICE INSURANCE GROUP (MOORE INSURANCE & FINANCIAL SERVICES); Investment Related; 100 Old Towne Rd, Suite 200, Vestavia AL 35216; Insurance and Investments; President/Owner; Start Date 12/2012; 100 hours per month with 5 of those hours occurring during trading hours; I offer life, universal, and whole life insurance as well as property and casualty products. I also provide mutual funds, ETFs, annuities, and wrap fee accounts to clients. >> 2) PROVIDENCE INVESTMENTS; Non-Investment Related; 29 Olmstead Street, Birmingham, AL 35242; Rental Property; Owner; Start Date 11/2011; No hours per month; Apartment complex of which I am one of the partners 3) NAME OF OTHER BUSINESS: KDM CABINS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTAIN A MOUNTAIN HOUSE FOR WEEKLY RENTALS USING A RENTAL COMPANY;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-16
S63 Uniform Securities Agent State Law Examination 1997-12-03
  • S65 Uniform Investment Adviser Law Examination
    1997-12-16
  • S63 Uniform Securities Agent State Law Examination
    1997-12-03

View on SEC IAPD

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