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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 2021-07-14
  • AL RA
    APPROVED
    Since 2021-07-14

Branch Locations

11 North Water Street, Mobile, AL 36602 • 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
Bbva Securites Inc. Birmingham AL 08/2016 04/2021
Compass Bank Birmingham AL 08/2016 04/2021
Bbva Compass Insurance Agency, Inc. Austin TX 08/2016 04/2021
Bbva Wealth Solutions Inc. Birmingham AL 08/2016 04/2021
Cetera Investment Services Llc Saint Cloud MN 07/2021 Present
Regions Bank Mobile AL 06/2021 Present
Cetera Investment Advisers Llc Mobile AL 07/2021 Present
  • 08/2016 → 04/2021
    Bbva Securites Inc.
    Birmingham, AL
  • 08/2016 → 04/2021
    Compass Bank
    Birmingham, AL
  • 08/2016 → 04/2021
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 08/2016 → 04/2021
    Bbva Wealth Solutions Inc.
    Birmingham, AL
  • 07/2021 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 06/2021 → Present
    Regions Bank
    Mobile, AL
  • 07/2021 → Present
    Mobile, AL
Previous Registrations
  • 2016-08-17 → 2021-04-27
    Pnc Managed Account Solutions, Inc.
    Mobile, AL
    Birmingham, AL
  • 2012-04-11 → 2016-07-29
    Alpharetta, GA
    Mobile, AL
    Bay Minette, AL
    Daphne, AL
    Gulf Shores, AL
    Robertsdale, AL
    Orange Beach, AL
    Alpharetta, GA
    Foley, AL
    Spanish Fort, AL
    Daphne, AL
    Mobile, AL
    Fairhope, AL
    Fairhope, AL
    Cantonment, FL
    Panama City, FL
    Pensacola, FL
    Pensacola, FL
    Alpharetta, GA
    Mobile, AL
  • 2010-01-22 → 2012-04-02
    Bb&T Investment Services, Inc.
    Mobile, AL
    Mobile, AL
    Daphne, AL
    Evergreen, AL
    Theodore, AL
    Brewton, AL
    Saraland, AL
    Charlotte, NC
  • 2008-10-17 → 2010-01-28
    Daphne, AL
    Mobile, AL
    Birmingham, AL
Other Businesses

1) REGIONS BANK, WEALTH ADVISOR, CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS, AND CREDIT CARD APPLICATIONS 2) RESIDENTIAL LEASING OR PRIMARY RESIDENCE, .5HRS/WK, SAME AS REGISTERED LOCATION 3) BOARD MEMBER AT BOYS GIRLS CLUBS OF SOUTH ALABAMA, 1/HR/WK; 4) CO-MEMBERSHIP CHAIR OF NON-PROFIT IMPACT100 MOBILE, INCREASE/RETAIN MEMBERS, 2/HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-15
S65 Uniform Investment Adviser Law Examination 1993-09-10
S63 Uniform Securities Agent State Law Examination 1993-08-10
  • S66 Uniform Combined State Law Examination
    2008-10-15
  • S65 Uniform Investment Adviser Law Examination
    1993-09-10
  • S63 Uniform Securities Agent State Law Examination
    1993-08-10
Designations
Other Names
  • Charlene E Farmer

View on SEC IAPD

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