Best Investors Account Sign in

Kristen C Wagg

Cetera Investment Advisers LLC

Decatur, AL

Claim This Profile
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

Other Firms

PNC WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
EDWARD JONES
OSAIC WEALTH, INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
AXIENT INVESTMENT ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

PATRICIA DOUGLAS WINSETT
William Wyker
Trace Quinton Lentz
Maxime Andre Jean Faure
TRACY LAMAR LENTZ
RICHARD DWIGHT THOMPSON
GEORGE RAY BREEDEN
THOMAS C MCCLESKEY

Other Offices

CETERA INVESTMENT ADVISERS LLC · DECATUR, AL
PNC WEALTH MANAGEMENT LLC · DECATUR, AL
LPL FINANCIAL LLC · DECATUR, AL
EDWARD JONES · Decatur, AL
LPL FINANCIAL LLC · DECATUR, AL
LPL FINANCIAL LLC · DECATUR, AL
OSAIC WEALTH, INC. · DECATUR, AL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · DECATUR, AL

More in Decatur, AL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor