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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
FL RA APPROVED 2023-05-01
AL RA APPROVED 2017-01-25
  • FL RA
    APPROVED
    Since 2023-05-01
  • AL RA
    APPROVED
    Since 2017-01-25

Branch Locations

1400 Urban Center Dr. Suite 475, Vestavia Hills, AL 35242 • United States

5551 Ridgewood Drive Suite 101, Naples, FL 34108 • 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
Lpl Financial Llc Vestavia Hills AL 03/2016 06/2018
Rfg Advisory Vestavia Hills AL 01/2017 03/2023
Linsco Private Ledger Birmingham AL 06/2018 06/2018
Private Client Services Birmingham AL 06/2018 Present
Rfg Advisory, Llc Dba Four Seasons Wealth Management Vestavia Hills AL 03/2023 Present
  • 03/2016 → 06/2018
    Lpl Financial Llc
    Vestavia Hills, AL
  • 01/2017 → 03/2023
    Rfg Advisory
    Vestavia Hills, AL
  • 06/2018 → 06/2018
    Linsco Private Ledger
    Birmingham, AL
  • 06/2018 → Present
    Private Client Services
    Birmingham, AL
  • 03/2023 → Present
    Rfg Advisory, Llc Dba Four Seasons Wealth Management
    Vestavia Hills, AL
Previous Registrations
  • 2011-01-21 → 2014-01-03
    Nashville, TN
Other Businesses

1) 03/06/2016. RFG Advisory. 1400 URBAN CENTER DR, STE 475, VESTAVIA HILLS, AL 35242. RIA. REG REP/PRINCIPAL. 160 HOURS/MO; 80 DURING TRADING HOURS. 2) 03/006/2016. RFG ADVISORY. 1400 URBAN CENTER DR, STE 475, VESTAVIA HILLS, AL 35242. ADVISORY ACTIVITIES. PORTFOLIO TRADER/RESEARCH ANALYST/IAR. 160 HOURS/MO; 80 DURING TRADING HOURS. 3) BIRMINGHAM SUNRISE ROTARY CLUB. 2019 4TH AVE N, BIRMINGHAM, AL 35203. ROTARY IS AN INTERNATIONAL SERVICE ORGANIZATION THAT BRINGS TOGETHER BUSINESS LEADERS IN ORDER TO PROVIDE HUMANITARIAN SERVICE. TREASURER AND VP OF CLUB SERVICE. RUN A BUDGET, LINE UP PROGRAMS/SPEAKERS. 4) Four Seasons Wealth Management - DBA. Investment-related. 5551 Ridgewood Drive, Suite 101, Naples, FL 34108. Position: Sr. Advisor. Start date: 04/01/2023. 80 hrs/month, 80 hrs/month during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-01
S63 Uniform Securities Agent State Law Examination 2007-09-18
  • S65 Uniform Investment Adviser Law Examination
    2016-09-01
  • S63 Uniform Securities Agent State Law Examination
    2007-09-18

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