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Anna Kate Carroll

Cetera Investment Advisers LLC

Birmingham, AL

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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
AL RA APPROVED 2020-06-15
  • AL RA
    APPROVED
    Since 2020-06-15

Branch Locations

1900 5Th Ave N, Birmingham, AL 35203 • 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
Proequities, Inc. Birmingham AL 02/2016 04/2020
Regions Bank Birmingham AL 05/2020 Present
Cetera Investment Advisers Llc Birmingham AL 06/2020 Present
Cetera Investment Services Llc St. Cloud MN 06/2020 Present
  • 02/2016 → 04/2020
    Proequities, Inc.
    Birmingham, AL
  • 05/2020 → Present
    Regions Bank
    Birmingham, AL
  • 06/2020 → Present
    Cetera Investment Advisers Llc
    Birmingham, AL
  • 06/2020 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2020-01-02 → 2020-04-28
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
Other Businesses

1) COMPLIANCE MANAGER FOR REGIONS INVESTMENT SOLUTIONS 2) TACO CASA, RUN THE SOCIAL MEDIA MARKETING THROUGH FACEBOOK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-01-02
S63 Uniform Securities Agent State Law Examination 2016-06-13
  • S65 Uniform Investment Adviser Law Examination
    2020-01-02
  • S63 Uniform Securities Agent State Law Examination
    2016-06-13
Other Names
  • Anna Katherine Page
  • Anna Katherine Carroll

View on SEC IAPD

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Luke Banks
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JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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