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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 | 2022-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-04-30 |
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