Birmingham, AL Riverchase Parkway E Office

Team
Updated today
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Cetera

Institution

Firm-wide stats for Cetera

Total advisors

10,171

Across 5,094 offices

Clients per advisor

79 Low

Avg AUM per client

$306,089 Low

HNW client ratio

10% Low

About

Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.

The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.

Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.

Based on Cetera

Expertise

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy

Based on Cetera

Occupation focus

Founder/Business Owner Executive

Based on Cetera

Location

250 Riverchase Parkway E

Birmingham AL 35244

Advisors at this office

10

Advisors at this office

user avatar

Austin H

Series 66

Hoover, AL

Cetera

Austin Hartline is a financial advisor at Cetera with one year of industry experience. He holds a Series 66 designation and has previously worked at Regions Bank and Cracker Barrel. Cetera Investment Advisers LLC is an SEC-registered firm serving a wide range of clients including individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers various portfolio management and financial planning services through a large network of independent advisors and a multi-manager platform.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Jill S

Series 66

Hoover, AL

Cetera

Jill Smith is a financial advisor with Cetera, holding a Series 66 designation and 14 years of industry experience. She has worked at Cetera Investment Services LLC, Cetera, and Regions Bank since 2017, and previously at ProEquities, Inc. from 2015 to 2017. Outside of her advisory role, she serves as an independent consultant for Pure Romance. Cetera Investment Advisers LLC is an SEC-registered firm serving a diverse client base including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers a multi-manager platform with various portfolio management options and access to third-party money managers, supporting over 10,000 advisors and approximately 800,000 clients.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Russell T

Series 63, Series 65

Hoover, AL

Cetera

Russell Tate is a financial advisor with Cetera, holding Series 63 and Series 65 credentials and bringing 28 years of industry experience. He has been with Cetera since 2014 and is based in Hoover, AL. Outside of his advisory work, he serves as a volunteer coach, board member, and age group director for Oak Mountain Youth Baseball. Cetera Investment Advisers LLC is a large SEC-registered firm serving a wide range of clients, including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers diverse investment management and financial planning services through a multi-manager platform that provides access to affiliated and third-party managers across various program structures.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Patrick N

Series 65, Series 63

Hoover, AL

Cetera

Patrick Nelis is a financial advisor at Cetera with six years of industry experience. He holds Series 65 and Series 63 licenses and has worked previously at firms including Wells Fargo and Invesco. Cetera Investment Advisers LLC is an SEC-registered adviser that serves a broad client base including individuals, employer-sponsored retirement plans, corporate, charitable, and institutional accounts. The firm offers various portfolio management and financial planning services through a multi-manager platform, featuring a mix of discretionary and non-discretionary program options.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Austin T

Series 66

Hoover, AL

Cetera

Austin Turnbow is a Series 66 licensed advisor at Cetera with 27 years of industry experience. He has worked with Cetera and Cetera Investment Services LLC since 2013 and 2015 respectively, and has also been associated with Regions Bank since 1998. Cetera Investment Advisers LLC is an SEC-registered advisor serving a broad client base that includes individual investors, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a variety of portfolio management and financial planning services through a large network of independent advisors and a multi-manager platform featuring affiliated and third-party strategies.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Alexander S

Series 63, Series 66

Birmingham, AL

Cetera

Alexander Sarafianos is a financial advisor with Cetera in Birmingham, AL, holding Series 63 and Series 66 credentials and bringing 37 years of industry experience. He has been with Cetera and its related entities since 2013 and also maintains a role at Regions Bank since that time. Cetera Investment Advisers LLC is an SEC-registered firm that serves a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with access to third-party money managers and a range of portfolio management and financial planning services.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Kevin L

Series 66

Hoover, AL

Cetera

Kevin Lacey is a financial advisor at Cetera with 21 years of industry experience. He holds the Series 66 designation and has worked at Cetera Investment Advisors LLC and Cetera Investment Services LLC since 2014, in addition to his role at Regions Bank. He is also involved in compliance and legal work related to bank products in a salaried position. Cetera Investment Advisers LLC is an SEC-registered adviser serving a broad range of clients including individuals, retirement plans, corporate and charitable entities, and institutional accounts. The firm offers various portfolio management and consulting services through a large network of independent advisors and operates a multi-manager platform with diverse program options.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Kenneth C

Series 66

Hoover, AL

Cetera

Kenneth Cobb is a financial advisor with Cetera, holding a Series 66 designation and five years of industry experience. His career includes roles at Regions Bank and various firms in finance and real estate. Outside of advising, he serves as a littler control supervisor during the Masters Golf Tournament at Augusta National Golf Club one week each year. Cetera Investment Advisers LLC is an SEC-registered firm supporting a nationwide network of over 10,000 independent advisors. It serves a diverse client base ranging from individual investors to institutional accounts, offering multiple portfolio management options and financial planning services through a multi-manager platform.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Edward B

Series 63, Series 66

Hoover, AL

Cetera

Edward Butler is a financial advisor at Cetera with 16 years of industry experience. He holds Series 63 and Series 66 designations and has been with Cetera and its affiliates since 2016. He also operates Butler Financial, LLC, a separate business he has managed since 2013. Cetera Investment Advisers LLC is an SEC-registered firm serving individual and institutional clients nationwide through a multi-manager platform. The firm offers a range of portfolio management and financial planning services with access to affiliated and third-party investment managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
user avatar

Amanda R

Series 66

Hoover, AL

Cetera

Amanda Reid is a financial advisor at Cetera with 23 years of industry experience. She holds a Series 66 designation and has been with Cetera and its affiliate firms since 2013. In addition to her advisory role, she serves as an accounting manager for Regions Investment Services. Cetera Investment Advisers LLC offers a broad range of investment advisory services through a nationwide network of independent advisors, serving individual, retirement, corporate, charitable, and institutional clients with multi-manager portfolio options and varied program structures.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
View complete list of advisors at this office
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