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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-24 |
| AL | RA | APPROVED | 2020-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Allstate Financial | Huntsville | AL | 01/2016 | 06/2017 |
| Compass Bank | Birmingham | AL | 06/2017 | 03/2020 |
| Bbva Securities Inc. | Madison | AL | 06/2017 | 03/2020 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 06/2017 | 03/2020 |
| Bbva Wealth Solutions Inc. | Madison | AL | 06/2017 | 03/2020 |
| Regions Bank | Huntsville | AL | 03/2020 | Present |
| Cetera Investment Advisers Llc | Huntsville | AL | 03/2020 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 03/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-26 |
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