Forest H. Suber

CETERA INVESTMENT ADVISERS LLC

BIRMINGHAM, AL 35223

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CRD#: 2147984

Professional summary

Forest Hampton Suber IV, who also goes by Forest Hampton Suber IV, Forest Hampton Suber, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.

Forest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Forest has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Forest Hampton Suber Iv | Forest Hampton Suber

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) CB&S FINANCIAL SERVICES (CB&S BANK); Investment Related; 7 Office Park Circle, Suite 1, Birmingham, AL 35223 ; Financial Services; Financial Services Director; Start Date 08/2021; 170 hours, more or less, per month with the majority of hours per month taking place during trading hours; Oversee recruiting new financial professionals and manage sales activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Forest Hampton Suber IV's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3309 Eaton Road, Birmingham, AL 35223

RIA

CRD#: 105644

BIRMINGHAM, AL

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 7 Office Park Circle Suite 1, Birmingham, AL 35223

CRD#: 13572

Birmingham, AL

Past

September 8, 2021 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Birmingham, AL

Past

September 8, 2021 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Birmingham, AL

Past

May 16, 2013 - August 23, 2021

BBVA SECURITIES INC.

CRD#: 27060

ATHENS, AL

Past

October 15, 2010 - August 23, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

BIRMINGHAM, AL

Past

July 8, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

BIRMINGHAM, AL

Past

June 12, 2002 - March 17, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA

CRD#: 17086

HUNTSVILLE, AL

Past

August 17, 1999 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

HUNTSVILLE, AL

Past

June 10, 1991 - July 7, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 10, 1991 - July 7, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(2/20/2025)

IAR

Alabama
(2/20/2025)

Georgia
(2/20/2025)

Mississippi
(2/20/2025)

Tennessee
(2/20/2025)

Virginia
(2/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/31/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Forest H. Suber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Forest Hampton Suber IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/14/2000

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1999

Series 6

Date: 6/6/1991

Series 53

Date: 3/31/2003

Series 24

Date: 4/24/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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