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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-05-01 |
| AL | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-18 |
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