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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 2023-08-01
AL RA APPROVED 2016-04-04
  • TX RA
    APPROVED_RES
    Since 2023-08-01
  • AL RA
    APPROVED
    Since 2016-04-04

Branch Locations

508 Madison Street, Huntsville, AL 35801 • 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
Regions Bank Columbus GA 03/2015 Present
Cetera Investment Services Llc St. Cloud MN 03/2015 Present
Cetera Investment Advisers Llc Columbus GA 03/2015 Present
  • 03/2015 → Present
    Regions Bank
    Columbus, GA
  • 03/2015 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 03/2015 → Present
    Columbus, GA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-26
S63 Uniform Securities Agent State Law Examination 2013-09-06
  • S66 Uniform Combined State Law Examination
    2014-09-26
  • S63 Uniform Securities Agent State Law Examination
    2013-09-06

View on SEC IAPD

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