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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2026-03-16 |
| TX | RA | APPROVED | 2026-03-16 |
Branch Locations
2908 Pumphouse Road, Mountain Brook, AL 35243 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Mountain Brook | AL | 08/2011 | 09/2025 |
| Ameriprise Financial Services, Llc | Mountain Brook | AL | 09/2025 | 03/2026 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2026 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2026 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2008 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CUNNINGHAM FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2011 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-16 |
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