RM
Ricky W. Mcquiston
CETERA INVESTMENT ADVISERS LLC
BIRMINGHAM, AL 35223
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CRD#: 1044574
RM
Professional summary
Ricky Wayne Mcquiston is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Ricky has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(dba) HIGHLAND PLANNING GROUP INC; Investment Related; 4505 Pine Tree Circle, Suite 101, Birmingham, AL 35243; Financial, Insurance, and Investment Services; President/Owner/Employee/Affiliate; Start Date 01/1998; Average hours per month 160; Feasibility Studies for Qualified Retirement Plans, Retirement Income Planning Studies, Estate Analysis and Review, Individual and Group Life, Disability and Long-Term Care Insurance Analysis and Review. >> VISION FINANCIAL GROUP, INC.; Investment Related; 4505 Pine Tree Circle, Suite 201, Birmingham, AL 35243; Financial, Insurance and Investment Services; Affiliate; Start Date 01/2016; 20 hours per month with those 20 hours per month occurring during trading hours; Delivery of Insurance and Investment Products to the public such as, Feasibility Studies for Qualified and Non-Qualified Plans, Retirement Income Planning Studies, Estate Analysis and Review, Life, Disability, Long-Term Care Insurance Analysis and Review. >> ALABAMA-NAIFA; Investment Related; 28 Shades Crest Road, Birmingham, AL 35226; State Association for Insurance; Trustee, Image Builder Fund; Start Date 01/2016; 1 hour per month with that 1 hour per month occurring during trading hours; Promote Life Insurance and the advisors that represent the companies doing business in the state of Alabama. >> PERSONAL REPRESENTATIVE (EXECUTOR); Non-Investment Related; Anniston, AL 36201; Start Date 12/2022; No hours per month; Personal representative (Executor) in the last will and statement of an extended family member.
CRS (Client Relationship Summary) - RIA
Click below to view Ricky Wayne Mcquiston's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3309 Eaton Road, Birmingham, AL 35223RIA
CRD#: 105644
BIRMINGHAM, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4505 Pine Tree Circle Suite 101, Birmingham, AL 35243BD
CRD#: 13572
Birmingham, AL
Past
December 2, 2003 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
December 1, 2003 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
Past
May 13, 2003 - February 23, 2004
PEACHTREE PLANNING CORPORATION
RIA
CRD#: 112787
BIRMINGHAM, GA
Past
February 28, 2001 - December 2, 2003
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BIRMINGHAM, AL
Past
May 3, 1999 - December 2, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
August 20, 1982 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/20/2025)
IAR
Alabama(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Mississippi(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New York(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Utah(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Birmingham, AL 35223TRUST BUT VERIFY
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