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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 2022-08-10
  • AL RA
    APPROVED
    Since 2022-08-10

Branch Locations

9885 Airport Blvd, Mobile, AL 36608 • 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
Hancock Investment Services, Inc. Mobile AL 09/2015 09/2017
Hancock/Whitney Bank Mobile AL 09/2015 09/2017
The Prudential Insurance Company Of America Birmingham AL 05/2018 05/2019
Unemployed Daphne AL 10/2017 04/2018
Compass Bank Birmingham AL 05/2019 11/2021
Bbva Securities Inc Mobile AL 05/2019 11/2021
Bbva Compass Insurance Agency Inc Austin TX 05/2019 11/2021
Pruco Securities, Llc. Birmingham AL 05/2018 05/2019
Bbva Wealth Solutions Inc. Mobile AL 05/2019 11/2021
Raymond James Financial Services, Inc. Mobile AL 11/2021 08/2022
Raymond James Financial Services Advisors, Inc. Mobile AL 11/2021 08/2022
Smartbank Investment Services Mobile AL 11/2021 08/2022
Smartbank Mobile AL 11/2021 08/2022
Regions Bank Mobile AL 08/2022 Present
Cetera Investment Advisers Llc Mobile AL 08/2022 Present
Cetera Investment Services Llc Saint Cloud MN 08/2022 Present
  • 09/2015 → 09/2017
    Hancock Investment Services, Inc.
    Mobile, AL
  • 09/2015 → 09/2017
    Hancock/Whitney Bank
    Mobile, AL
  • 05/2018 → 05/2019
    The Prudential Insurance Company Of America
    Birmingham, AL
  • 10/2017 → 04/2018
    Unemployed
    Daphne, AL
  • 05/2019 → 11/2021
    Compass Bank
    Birmingham, AL
  • 05/2019 → 11/2021
    Bbva Securities Inc
    Mobile, AL
  • 05/2019 → 11/2021
    Bbva Compass Insurance Agency Inc
    Austin, TX
  • 05/2018 → 05/2019
    Birmingham, AL
  • 05/2019 → 11/2021
    Bbva Wealth Solutions Inc.
    Mobile, AL
  • 11/2021 → 08/2022
    Raymond James Financial Services, Inc.
    Mobile, AL
  • 11/2021 → 08/2022
    Mobile, AL
  • 11/2021 → 08/2022
    Smartbank Investment Services
    Mobile, AL
  • 11/2021 → 08/2022
    Smartbank
    Mobile, AL
  • 08/2022 → Present
    Regions Bank
    Mobile, AL
  • 08/2022 → Present
    Mobile, AL
  • 08/2022 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-30
  • S66 Uniform Combined State Law Examination
    2014-04-30
Other Names
  • Nathan Ryan Novotny
  • Nathan Novotny
  • Nathan R Novotny

View on SEC IAPD

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