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Inactive

Mark Andrew Pearson

Rfg Advisory, LLC

Vestavia Hills, AL

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
TX RA APPROVED_RES 2014-03-12
AL RA APPROVED 2013-12-02
  • TX RA
    APPROVED_RES
    Since 2014-03-12
  • AL RA
    APPROVED
    Since 2013-12-02

Branch Locations

1400 Urban Center Dr. Suite 475, Vestavia Hills, AL 35242 • United States

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • 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
Rfg Advisory Group, Llc Birmingham AL 12/2013 Present
  • 12/2013 → Present
    Rfg Advisory Group, Llc
    Birmingham, AL
Previous Registrations
  • 2011-08-24 → 2013-12-19
    Noesis Capital Management Corp
    Birmingham, AL
    Boca Raton, FL
  • 2007-11-26 → 2011-08-24
    Proche Capital Management
    Birmingham, AL
  • 2007-10-01 → 2008-01-09
    Altavista Wealth Management, Inc.
    Birmingham, AL
  • 2005-03-11 → 2007-09-19
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2003-04-10 → 2007-01-03
    Sterne, Agee & Leach, Inc.
    Birmingham, AL
    Birmingham, AL
Other Businesses

1. 12/30/2013 - REGISTERED INVESTMENT ADVISOR - RFG ADVISORY GROUP, LLC - OFFER FEE BASED PLANNING AND INVESTMENT ADVISORY SERVICES. - HYBRID-RFG ADVISORY GROUP, LLC - TIME SPENT 95% - BIRMINGHAM, AL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-02-11
S63 Uniform Securities Agent State Law Examination 1999-03-25
  • S65 Uniform Investment Adviser Law Examination
    2002-02-11
  • S63 Uniform Securities Agent State Law Examination
    1999-03-25

View on SEC IAPD

Other Firms

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
ERIC JOSEPH BLAKE
HEIDI MARIE BIRD
AUDREY IVY PIERSON
RYAN CHRISTOPHER WHITLEY
BRIAN DAVID SWILLING
Lee Crocker

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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