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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 2025-04-01
AL RA APPROVED 2025-02-20
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • AL RA
    APPROVED
    Since 2025-02-20

Branch Locations

103 East 13Th Street, Anniston, AL 36201 • 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 Anniston AL 02/1985 02/2025
(Dba) Insurance Planning Services Inc Anniston AL 09/1998 Present
Cetera Wealth Services, Llc Anniston AL 02/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 02/2025 Present
Forever Young Farms Eat, Llc Birmingham AL 08/2025 Present
  • 02/1985 → 02/2025
    Concourse Financial Group Securities Inc
    Anniston, AL
  • 09/1998 → Present
    (Dba) Insurance Planning Services Inc
    Anniston, AL
  • 02/2025 → Present
    Cetera Wealth Services, Llc
    Anniston, AL
  • 02/2025 → Present
    Schaumburg, IL
  • 08/2025 → Present
    Forever Young Farms Eat, Llc
    Birmingham, AL
Previous Registrations
  • 1999-02-25 → 2025-02-20
    Concourse Financial Group Securities, Inc.
    Anniston, AL
    Oxford, AL
    Birmingham, AL
Other Businesses

(dba) INSURANCE PLANNING SERVICES INC; Investment Related; 103 East 13th Street, Anniston, AL 36201; Agent/Owner; Start Date 09/1998; 120 hours per month; Insurance sales, service and consulting. >> ANGUS PROPERTIES, LLC; Non-Investment Related; 103 East 13th Street, Anniston, AL 36201; President; Start Date 10/2013; 1 hour per month; Owner of a building that I lease to tenants. >> LICKSKILLET, LLC; Non-Investment Related; 103 East 13th Street, Anniston, AL 36201; Member; Start Date 09/2018; 1 hour per month; LLC formed to purchase a vacant lot in Oxford, AL - I have no specific duties at this time. >> CAPRI ASSOCIATES, LLC; Non-Investment Related; 3094 Roy Webb Road, Jacksonville, AL 36265; Vice President; Start Date 10/1986; 2 hours per month; I am a partial owner of two apartment buildings and one house that are leased and/or rented to others. >> FOREVER YOUNG FARMS; Non-Investment Related; Talladega, AL 35160; Owner; Start Date 01/2013; 10 hours per month; Timber farmland. >> LIFE SETTLEMENTS; Investment Related; 103 East 13th Street, Anniston, AL 36201; Insurance; Representative; Start Date 03/2023; 2 hours per month with those 2 hours per month occurring during trading hours; From time to time a life insurance policyholder may want to sell their life insurance policy - I assist them with that process at that time. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/1974; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; NAME OF OTHER BUSINESS: FOREVER YOUNG FARMS EAT, LLC; INVESTMENT RELATED: NO; ADDRESS: 2101 FIRST AVE NORTH, BIRMINGHAM, AL 35203; NATURE OF BUSINESS: REAL ESTATE; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC MEMBER;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1985-05-31
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1985-05-31

View on SEC IAPD

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