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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-03-20
AL RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2018-03-20
  • AL RA
    APPROVED
    Since 2014-01-21

Branch Locations

3172 Cahaba Heights Village, 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
Regions Bank Birmingham AL 01/2013 Present
Cetera Investment Services Llc St. Cloud MN 01/2013 Present
Cetera Investment Advisers Llc Birmingham AL 01/2014 Present
  • 01/2013 → Present
    Regions Bank
    Birmingham, AL
  • 01/2013 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Birmingham, AL
Previous Registrations
  • 2010-11-08 → 2013-01-14
    Intl Advisory Consultants Inc.
    Birmingham, AL
Other Businesses

1. SUNDAY SCHOOL TEACHER/LIFE GROUP TEACHER AT DAWSON MEMORIAL BAPTIST CHURCH-1HR PER WEEK. 2. CHURCH DEACON AT DAWSON MEMORIAL BAPTIST CHURCH -MAKE DECISION RELATING TO CHURCH BUSINESS AND ACTIVITIES-1 HR MONTH. 4. FINANCE COMMITTEE TEAM MEMBER FOR DAWSON MEMORIAL BAPTIST CHURCH, ATTEND QUARTERLY MEETINGS WITH FINANCE TEAM TO REVIEW BUDGET AND DISCUSS FINANCIAL DECISIONS OF THE CHURCH, 1-2/HRS/MO; 5. SCHOOL LIASON FOR WISE GUYS MINISTRIES TO DOLLY RIDGE ELEMENTARY SCHOOL, 1/2/HR/WK;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-06
  • S66 Uniform Combined State Law Examination
    2009-10-06

View on SEC IAPD

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