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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-01
AL RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • AL RA
    APPROVED
    Since 2025-02-20

Branch Locations

2820 Central Avenue, Homewood, AL 35203 • United States

4072 Old Leeds Road, Mountain Brook, AL 35213 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 07/2016 → 07/2017
    Alps Distributors Inc
    Birmingham, AL
  • 07/2016 → 07/2017
    Highland Associates
    Birmingham, AL
  • 09/2017 → 02/2025
    Concourse Financial Group Securities Inc
    Birmingham, AL
  • 12/2021 → 12/2023
    Investment Distributors Inc
    Birmingham, AL
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2017-09-26 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
    Mountain Brook, AL
    Birmingham, AL
  • 2016-12-05 → 2017-07-18
    Birmingham, AL
  • 2016-01-04 → 2016-07-11
    Intl Advisory Consultants Inc.
    Birmingham, AL
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-04
  • S66 Uniform Combined State Law Examination
    2015-12-04
Other Names
  • Rachael Lynn Pintaric
  • Rachael Pintaric Thomas
  • Rachael Lynn Thomas

View on SEC IAPD

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