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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2026-06-05
  • AL RA
    APPROVED
    Since 2026-06-05

Branch Locations

204 Main St., Ste.222, Trussville, AL 35173 • 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
Cetera Advisors Llc St Cloud MN 05/2026 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2026 Present
Sa Stone Wealth Management Inc. Birmingham AL 06/2016 10/2017
Ameriprise Financial Services, Inc. Birmingham AL 10/2017 03/2019
Morgan Stanley Birmingham AL 03/2019 05/2026
  • 05/2026 → Present
    Cetera Advisors Llc
    St Cloud, MN
  • 05/2026 → Present
    Schaumburg, IL
  • 06/2016 → 10/2017
    Sa Stone Wealth Management Inc.
    Birmingham, AL
  • 10/2017 → 03/2019
    Ameriprise Financial Services, Inc.
    Birmingham, AL
  • 03/2019 → 05/2026
    Birmingham, AL
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: EARL FALKNER DBA FALKNER FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 06/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: CLIENT SUPPORT, OFFERING SECURITIES ADVISORY AND INSURANCE SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-08
  • S66 Uniform Combined State Law Examination
    2015-11-08
Other Names
  • Bonnie Elizabeth Head
  • Bonnie E Brewer

View on SEC IAPD

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