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Kristen C Wagg

Cetera Investment Advisers LLC

Decatur, AL

CRD 7306774

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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 2023-01-04
  • AL RA
    APPROVED
    Since 2023-01-04

Branch Locations

1209 Point Mallard Parkway, Decatur, AL 35601 • 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 Investment Services Llc St Cloud MN 11/2020 Present
Regions Bank Decatur AL 02/2018 10/2020
Regions Bank Decatur AL 01/2016 02/2018
Regions Bank Decatur AL 10/2020 Present
Cetera Investment Advisers Llc Decatur AL 01/2023 Present
  • 11/2020 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 02/2018 → 10/2020
    Regions Bank
    Decatur, AL
  • 01/2016 → 02/2018
    Regions Bank
    Decatur, AL
  • 10/2020 → Present
    Regions Bank
    Decatur, AL
  • 01/2023 → Present
    Cetera Investment Advisers Llc
    Decatur, AL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-30
  • S66 Uniform Combined State Law Examination
    2022-12-30
Other Names
  • Kristen Wagg

View on SEC IAPD

Nearby Firms

PNC WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
EDWARD JONES

Nearby Investors

PATRICIA DOUGLAS WINSETT
William Wyker
Trace Quinton Lentz

Nearby Offices

CETERA INVESTMENT ADVISERS LLC · DECATUR, AL
PNC WEALTH MANAGEMENT LLC · DECATUR, AL
LPL FINANCIAL LLC · DECATUR, AL

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