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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 2020-06-23
  • AL RA
    APPROVED
    Since 2020-06-23

Branch Locations

2025 Gunter Ave, Guntersville, AL 35976 • 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
The Leaders Group Inc Littleton CO 08/2017 12/2017
Dixon Wells Birmingham AL 08/2016 08/2018
The Leaders Group Inc Littleton CO 04/2018 08/2018
Regions Bank Guntersville AL 08/2018 Present
Cetera Investment Services Llc St. Cloud MN 08/2018 Present
Cetera Investment Advisers Llc Guntersville AL 06/2020 Present
  • 08/2017 → 12/2017
    The Leaders Group Inc
    Littleton, CO
  • 08/2016 → 08/2018
    Dixon Wells
    Birmingham, AL
  • 04/2018 → 08/2018
    The Leaders Group Inc
    Littleton, CO
  • 08/2018 → Present
    Regions Bank
    Guntersville, AL
  • 08/2018 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 06/2020 → Present
    Guntersville, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-22
S63 Uniform Securities Agent State Law Examination 2007-01-12
  • S66 Uniform Combined State Law Examination
    2020-06-22
  • S63 Uniform Securities Agent State Law Examination
    2007-01-12

View on SEC IAPD

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