Fred Lann Middleton

Current Employers

Employment History

• 03/2015 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2013-02-06 → 2015-04-02
  Capital Investment Advisory Services, Llc
  Raleigh, NC
  Montgomery, AL
• 2011-08-23 → 2012-12-31
  Cic Advisers, Llc
  Raleigh, NC
• 2006-05-15 → 2011-03-25
  W. R. Taylor & Company, Llc
  Montgomery, AL
  Montgomery, AL
  Montgomery, AL
• 2003-02-14 → 2006-05-15
  Ubs Financial Services Inc.
  Montgomery, AL
• 1999-11-02 → 2003-02-19
  Morgan Stanley Dw Inc.
  Montgomery, AL

Other Businesses

1. NAME OF OTHER BUSINESS: PMG PLANNING INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT /OWNER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTMENT MANAGEMENT ; 2. NAME OF OTHER BUSINESS: PMG PLANNING ; INVESTMENT RELATED: NO; ADDRESS: 235 OPELIKA RD / 425 PERRY ST AUBURN, AL 36832; NATURE OF BUSINESS: FINANCIAL EDUCATION WORKSHOPS; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR AND MARKETING; APX NUMBER OF HOURS PER WEEK: 4-5; APX NUMBER OF HOURS DURING TRADING HOURS: 4-5; BRIEF DESCRIPTION OF DUTIES: TEACHING FINANCIAL EDUCATION WORKSHOPS; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2018; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, MEDICARE SUPPLEMENTS AND MEDICARE ADV; 4. AUBURN UNIVERSITY, NOT INVESTMENT RELATED, 135 COLLEGE STREET, AUBURN, AI, 36849, EDUCATIONAL, STARTED 6/2018, POSITION/TITLE/RELATIONSHIP: INSTRUCTOR, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDING EDUCATION ON GENERAL FINANCIAL TOPICS UNDER UNIVERSITY'S ADULT EDUCATION PROGRAM. 5. NAME OF OTHER BUSINESS: PMG TAX SERVICE LLC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PLANNING AND PREPARATION OF TAX RETURNS ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / TAX PLANNER ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: TAX PLANNING AND ANALYSIS FOR INDIVIDUALS AND BUSINESSES ; 6. NAME OF OTHER BUSINESS: FRED MIDDLETON; INVESTMENT RELATED: YES; ADDRESS: 425 PERRY STREET AUBURN, AL 36832; NATURE OF BUSINESS: INSTRUCTOR FINANCIAL WORKSHOP; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK 1-3:; APX NUMBER OF HOURS DURING TRADING HOURS: 1-3; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL WORKSHOP SEMINARS TO THE PUBLIC;

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-08-17
• S65 Uniform Investment Adviser Law Examination
  1999-08-17