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Current Employers
Rfg Advisory, Llc

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2020-11-16
TX RA APPROVED 2020-11-16
  • AL RA
    APPROVED
    Since 2020-11-16
  • TX RA
    APPROVED
    Since 2020-11-16

Branch Locations

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

100 Essex Court, Suite C, Madison, AL 35758 • 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
Metlife Securities Inc. Birmingham AL 01/2015 11/2020
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 11/2020
Mml Investors Services, Llc Birmingham AL 03/2017 11/2020
Private Client Services Birmingham AL 11/2020 12/2025
Rfg Advisory, Llc Dba Investor'S Resource Madison AL 11/2020 Present
  • 01/2015 → 11/2020
    Metlife Securities Inc.
    Birmingham, AL
  • 07/2016 → 11/2020
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 11/2020
    Birmingham, AL
  • 11/2020 → 12/2025
    Private Client Services
    Birmingham, AL
  • 11/2020 → Present
    Rfg Advisory, Llc Dba Investor'S Resource
    Madison, AL
Previous Registrations
  • 2017-03-25 → 2020-11-17
    Birmingham, AL
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Birmingham, AL
  • 2010-08-11 → 2015-01-02
    New England Securities
    Birmingham, AL
Other Businesses

1) BROCK ESON/INSURANCE AGENT. 100 ESSEX COURT, SUITE C, MADISON, AL. INSURANCE SALES THROUGH CRUMP. SALE AND EVALUATION OF INSURANCE POLICIES. 4 HRS/MO; 2 DURING TRADING HRS. 2) RFG ADVISORY DBA INVESTOR'S RESOURCE. 100 ESSEX COURT, SUITE C, MADISON, AL. 160 HRS/MO; 160 DURING TRADING HRS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-06-04
S63 Uniform Securities Agent State Law Examination 2007-07-06
  • S65 Uniform Investment Adviser Law Examination
    2010-06-04
  • S63 Uniform Securities Agent State Law Examination
    2007-07-06

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