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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 | 2025-04-01 |
| AL | RA | APPROVED | 2025-02-20 |
Branch Locations
2820 Central Avenue, Homewood, AL 35203 • United States
4072 Old Leeds Road, Mountain Brook, AL 35213 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Distributors Inc | Birmingham | AL | 07/2016 | 07/2017 |
| Highland Associates | Birmingham | AL | 07/2016 | 07/2017 |
| Concourse Financial Group Securities Inc | Birmingham | AL | 09/2017 | 02/2025 |
| Investment Distributors Inc | Birmingham | AL | 12/2021 | 12/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
1) NAME OF OTHER BUSINESS: ALCOHOLICS ANONYMOUS; INVESTMENT RELATED: NO; ADDRESS: 181 WEST VALALEY AVE HOMEWOOD, AL 35209; NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: INTERGROUP REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SERVE AS LIAISON BETWEEN GROUP, MEMBERS AND CENTRAL OFFICE, LEARNING NEEDS AND ISSUES OF THE GROUP AND REPORTING, PROVIDE SERVICE OPPORTUNITIES; 2) NAME OF OTHER BUSINESS: ADDICTION PREVENTION COALITION; INVESTMENT RELATED: NO; ADDRESS: 105 VULCAN ROAD SUITE 332 BIRMINGHAM, AL 35209; NATURE OF BUSINESS: NON PROFIT; START DATE: 02/2026 POSITION/TITLE/RELATIONSHIP: JR. BOARD MEMBER, and Secretary; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PLANNING, PREPARATION OF FUNDRAISING EVENTS, ADVOCATING FOR THE ORGANIZATION AND COMMUNITY AWARENESS OF SUBSTANCE ABUSE PREVENTION, ASSIST IN CREATING SOCIAL SAFE SPACES, in charge of meeting minutes, the agenda, and group communications; 3) NAME OF OTHER BUSINESS: RACHAEL THOMAS ART INVESTMENT RELATED: NO ADDRESS: 4072 OLD LEADS RD, MOUNTAIN BROOKE AL 35213; NATURE OF BUSINESS: ARTWORK START DATE: 7/1/2026 POSITION/TITLE/RELATIONSHIP: OWNER/ARTIST APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CREATE ARTWORKS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-04 |
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