Vernon Edwin Unger

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2005 → 02/2025
  Concourse Financial Group Securities Inc
  Alpharetta, GA
• 11/2016 → 12/2021
  (Dba) Legacy Investment Advisors
  Alpharetta, GA
• 05/2007 → 02/2025
  Concourse Financial Group Securities Inc
  Alpharetta, GA
• 02/2025 → Present
  Cetera Wealth Services, Llc
  Alpharetta, GA
• 02/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-05-10 → 2025-02-20
  Concourse Financial Group Securities, Inc.
  Atlanta, GA
  Atlanta, GA
  Lawrencevill, GA
  Alpharetta, GA
  Birmingham, AL

Other Businesses

1) ED UNGER & ASSOCIATES; Investment Related; Alpharetta, GA; Insurance; Agent; Start Date 09/1999; 2 hours per month, more or less, with those hours per month occurring during trading hours; Offer primarily term life insurance products and services but may offer other insurance product types (health, disability, and/or annuity) to prospective insurance clients with various insurance carriers. >> 2) LAKE WINDWARD YACHT CLUB; Non-Investment Related; Lake Windward, Alpharetta, GA; Neighborhood Social Club; Vice Commodore; Start Date 12/2020; 4 hours per month with 1 hour more/less occurring during trading hours; In the event that the Commodore is not able to lead a meeting, I as the Vice Commodore, lead the meeting in his/her absence. >> 3) WINDWARD HOA BOARD; Non-Investment Related; 1100 North Meadow Pkwy, Ste 114, Roswell, GA 30076; HOA; Board Member; Start Date 03/2022; 20 - 30 hours per month with minimal hours occurring during trading hours; Serve as Board Member as well as liaison to the Windward Lake Committee and member of the Amenities Sub-Committee. >> 4) POA; Non-Investment Related; Alpharetta, GA 30005; Co-Power of Attorney for my parents; Start Date 03/2002; No hours per month presently; Co-Power of Attorney for my parents. 5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/1993; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams

• S66 Uniform Combined State Law Examination
  2006-11-27
• S65 Uniform Investment Adviser Law Examination
  1999-12-01
• S63 Uniform Securities Agent State Law Examination
  1993-06-08

Other Names

• Ed Unger