Katie Esser Hammock

Employer firm

Rfg Advisory, LLC CRD 158401

$7.97B regulatory AUM 12 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 06/2018
  Lpl Financial, Llc
  Vestavia Hills, AL
• 06/2015 → Present
  Rfg Advisory
  Vestavia Hills, AL
• 06/2018 → Present
  Private Client Services
  Birmingham, AL

Previous Registrations

• 2011-06-03 → 2015-07-08
  Ameriprise Financial Services, Llc
  Birmingham, AL

Other Businesses

1) RFG ADVISORY. 1400 URBAN CENTER PKWY, STE 475, VESTAVIA HILLS, AL 35242. DBA FOR PCS BUSINESS. 150 HOURS/MO; 150 DURING TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  2011-05-06

Other Names

• Katie Lynn Esser
• Katie L Esser