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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 2025-02-20
  • AL RA
    APPROVED
    Since 2025-02-20

Branch Locations

4505 Pine Tree Circle Suite 101, Birmingham, AL 35243 • 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
Vision Financial Group Birmingham AL 10/2012 Present
Concourse Financial Group Securities Inc Birmingham AL 01/2013 02/2025
Concourse Financial Group Securities Inc Birmingham AL 03/2021 02/2025
Concourse Financial Group Securities Inc Birmingham AL 11/2022 02/2025
Cetera Wealth Services, Llc Birmingham AL 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
  • 10/2012 → Present
    Vision Financial Group
    Birmingham, AL
  • 01/2013 → 02/2025
    Concourse Financial Group Securities Inc
    Birmingham, AL
  • 03/2021 → 02/2025
    Concourse Financial Group Securities Inc
    Birmingham, AL
  • 11/2022 → 02/2025
    Concourse Financial Group Securities Inc
    Birmingham, AL
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Birmingham, AL
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2022-10-31 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
    Birmingham, AL
Other Businesses

1)VISION FINANCIAL GROUP; Investment Related; 4505 Pine Tree Circle, Ste 101, Birmingham, AL 35243; Financial Services; Administrative Support; Start Date 10/2012; 80 hours per month with most hours per month occurring during trading hours; Administrative duties to include reception, business accounting, accounts payable, and client and rep services. 2)NAME OF OTHER BUSINESS: NOTARY PUBLIC ALABAMA STATE AT LARGE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY START DATE: 5/28/2026 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: TO PROVIDE CLIENTS NOTARY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-31
  • S66 Uniform Combined State Law Examination
    2022-10-31
Other Names
  • Shelly Grace Brand
  • Shelly Grace Floyd
  • Shelly Grace Brand

View on SEC IAPD

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