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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| AL | RA | APPROVED | 2014-03-28 |
Branch Locations
2050 Parkway Office Circle 4Th Fl, Hoover, AL 35244 • United States
Birmingham, AL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regions Bank | Birmingham | AL | 03/2014 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 03/2014 | Present |
| Cetera Investment Advisers Llc | Birmingham | AL | 03/2014 | Present |
1.) WBT LLC, PRES/OWNER, 56% OWNERSHIP, RENTAL PARTIES THAT THIRD PARTY MANAGES, $12000 ANNUAL COMPENSATION, DOES NOT INVOLVE SECURITY CLIENTS; 2.) EXECUTOR OF MOTHER'S WILL.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-23 |
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