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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-03-27 |
| AL | RA | APPROVED | 2025-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 06/2015 | 09/2016 |
| Bbva Securities Inc. | Birmingham | AL | 06/2015 | 06/2016 |
| Bbva Wealth Solutions Inc. | Birmingham | AL | 06/2015 | 06/2016 |
| Bbva Compass Insurance Agency Inc | Austin | TX | 07/2015 | 09/2016 |
| Concourse Financial Group Securities Inc | Birmingham | AL | 09/2016 | 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 |
1. NAME OF OTHER BUSINESS: THE EMMAUS TABLE INC. INVESTMENT RELATED: NO; ADDRESS: 5557 HEATH ROW DR, BIRMINGHAM, AL 35242; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: KEEP MEETING NOTES AND VOTING ON VARIOUS INITIATIVES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-28 |
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