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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 2025-03-27
AL RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-03-27
  • AL RA
    APPROVED
    Since 2025-02-20

Branch Locations

2820 Central Avenue, Homewood, 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
Concourse Financial Group Securities Inc Birmingham AL 02/2014 02/2025
Cetera Wealth Services, Llc El Segundo CA 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
Cetera Advisors Llc Greenwood Village CO 02/2025 Present
Cetera Financial Specialists Llc Schaumburg IL 02/2025 Present
Cetera Investment Services Llc St Cloud MN 02/2025 Present
  • 02/2014 → 02/2025
    Concourse Financial Group Securities Inc
    Birmingham, AL
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2025 → Present
    Schaumburg, IL
  • 02/2025 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 02/2025 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/2025 → Present
    Cetera Investment Services Llc
    St Cloud, MN
Previous Registrations
  • 2014-03-07 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
    Birmingham, AL
Other Businesses

HOOVER SOCCER CLUB; Non-Investment Related; 2539 John Hawkins Pkwy, Ste 101-223, Hoover, AL 35244; Other; Academy Club Coach; Start Date 08/2021; 30 to 40 hours per month with no hours per month occurring during trading hours; I am a paid coach for the competitive club team for the (U10) Boys Team. I am responsible for scheduling and running practices, developing these young men into well rounded soccer players, maintaining our team roster, registering the team for tournaments, and scheduling regular season games.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-07
S63 Uniform Securities Agent State Law Examination 2013-08-30
  • S65 Uniform Investment Adviser Law Examination
    2013-11-07
  • S63 Uniform Securities Agent State Law Examination
    2013-08-30
Other Names
  • Clint Vance
  • Clint D Vance

View on SEC IAPD

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