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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2014-08-11 |
Branch Locations
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Three City Dr Suite 590, Creve Coeur, MO 63141 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Creve Coeur | MO | 04/2009 | 06/2018 |
| Rfg Advisory Llc | Creve Coeur | MO | 08/2014 | Present |
| Private Client Services | Creve Coeur | MO | 06/2018 | Present |
| Rfg Advisory Llc | Vestavia Hills | AL | 08/2014 | Present |
1) RFG Advisory LLC; Investment Related; Three City Place Drive, Suite 590, Creve Coeur, MO 63141; DBA; Investment Advisor; Start: 8/1/2014; 160 hrs/mo; 160 during trading hrs.; DBA name for insurance and advisory activity. 2) RFG Advisory LLC; Investment Related; 1400 Urban Center, Ste 475, Vestavia Hills, AL 35242; RIA; 08/01/2014; 160 hrs/mo; 160 during trading hrs.; RIA Affiliate; Investment Advisor Representative. 3) KLEIN WEALTH MANAGEMENT, LLC; NON-INVESTMENT RELATED; 33 Heather Hill Lane, Olivette, MO 63132; PERSONAL LLC FOR TAX PURPOSES; OWNER; 11/09/2009; 0 hours/month; 0 during trading hours 4) Assigner/STL STRIPES, LLC; NON-INVESTMENT RELATED; 33 Heather Hill Lane, Olivette, MO 63132, Youth basketball league, youth basketball referee; start date 11/05/2023; 16 hrs/mo, 0 hrs during trading. 5) CRUMP INSURANCE; INVESTMENT-RELATED; 4135 NORTH FRONT STREET, HARRISBURG, PA 17110; LIFE/HEALTH/P&C/ANNUITY INSURANCE; INSURANCE AGENT; START 08/2014; 80 HOURS/MONTH DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-11-14 |
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