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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-06-01 |
| TX | RA | APPROVED | 2021-06-01 |
Branch Locations
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Energen Resources/Diamondback Energy | Birmingham | AL | 05/2014 | 02/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 02/2019 | 06/2021 |
| Northwestern Mutual Investment Services Llc | Hoover | AL | 02/2019 | 06/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 06/2020 | 06/2021 |
| Rfg Advisory, Llc Dba Willow Private Wealth | Vestavia Hills | AL | 06/2021 | Present |
| Capitas Financial Llc | Mountain Brook | AL | 02/2019 | Present |
| Private Client Services | Birmingham | AL | 06/2021 | Present |
1) Capitas Financial/Insurance. 2 Office Park Cir, Mountain Brook, AL 35223. Insurance/Life Health Variable Products, Insurance Agent. 80 hrs/mo; 80 during trading hrs. 2) Willow Private Wealth. 1400 Urban Center Drive, Suite 475, Vestavia Hills, AL 35242. Financial Advisor/Insurance agent for Lemzar Capital. Brokerage, Insurance and advisory business. 160 hrs/mo; 160 during trading hrs. 3) RFG Advisory. 1400 Urban Center Drive, Suite 475, Vestavia Hills, AL 35242. RIA. 160 hrs/mo; 160 during trading hrs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2019-06-26 |
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