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Katie Esser Hammock

Rfg Advisory, LLC

Vestavia Hills, AL

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Current Employers
Rfg Advisory, Llc

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2018-04-24
  • AL RA
    APPROVED
    Since 2018-04-24

Branch Locations

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242 • 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
Lpl Financial, Llc Vestavia Hills AL 06/2015 06/2018
Rfg Advisory Vestavia Hills AL 06/2015 Present
Private Client Services Birmingham AL 06/2018 Present
  • 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
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
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-06
  • S66 Uniform Combined State Law Examination
    2011-05-06
Other Names
  • Katie Lynn Esser
  • Katie L Esser

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC
BCR WEALTH STRATEGIES
CETERA INVESTMENT ADVISERS LLC
APPROACH RETIREMENT ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
PNC WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

BOBBY RAY TRUST WHITE
HARRIS TODD DOOBROW
MARK ANDREW PEARSON
ERIC JOSEPH BLAKE
HEIDI MARIE BIRD
AUDREY IVY PIERSON
RYAN CHRISTOPHER WHITLEY
BRIAN DAVID SWILLING

Other Offices

RFG ADVISORY, LLC · Vestavia Hills, AL
AMERIPRISE FINANCIAL SERVICES, LLC · Vestavia, AL
BCR WEALTH STRATEGIES · VESTAVIA, AL
CETERA INVESTMENT ADVISERS LLC · MOUNTAIN BROOK, AL
APPROACH RETIREMENT ADVISORS, LLC · BIRMINGHAM, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Vestavia, AL
PNC WEALTH MANAGEMENT LLC · CAHABA HEIGHTS, AL
LPL FINANCIAL LLC · BIRMINGHAM, AL

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