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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2026-01-14 |
| TX | RA | APPROVED_RES | 2023-11-02 |
Branch Locations
1408 N. Main Street, Williamstown, KY 41097 • United States
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 |
|---|---|---|---|---|
| Securities America, Inc. | Williamstown | KY | 07/2014 | Present |
| Arbor Point Advisors | Williamstown | KY | 08/2017 | Present |
| Rfg Advisory, Llc | Williamstown | KY | 01/2019 | Present |
1 ETA Investments; YES; 1408 N. Main Street, Williamstown, KY 41097; DBA; Owner/Advisor; Start: 1/2019; 160 hrs/mo; 160 during trading hrs; DBA name for advisory and insurance activity. 2) RFG Advisory, LLC; YES; 1400 Urban Center, Ste 475, Vestavia Hills, AL 35242; RIA; 160 hrs/mo; 160 during trading hrs.; RIA Affiliate; Investment Advisor Representative. 3) JAMES KEITH - INSURANCE SALES - AGENT - INVESTMENT REALTED - START DATE: 07/2012 - LOCATED AT 1408 N Main St, Williamstown, KY 41097,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2011-02-04 |
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