Victoria A. Hale

CETERA INVESTMENT ADVISERS

MCCALLA, AL 35111

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CRD#: 2488474

Professional summary

Victoria Ann Hale, who also goes by VIctoria Ann Hale, Vicky Hicks, Victoria Ann Hicks, Victoria Ann Mcginley, Vicky Travis, Victoria Ann Travis, Vicky Veith, Victoria Ann Veith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mccalla, Alabama and CETERA WEALTH SERVICES, LLC located in Homewood, Alabama.

Victoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Victoria has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victoria Ann Hale'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: 10893 Woodland Drive, Mccalla, AL 35111Office #2: 2820 Central Avenue, Homewood, AL 35203

RIA

CRD#: 105644

MCCALLA, AL

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2820 Central Avenue, Homewood, AL 35203

CRD#: 13572

HOMEWOOD, AL

Past

January 2, 2022 - December 11, 2023

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490

Birmingham, AL

Past

April 6, 2016 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Birmingham, AL

Past

April 6, 2016 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Birmingham, AL

Past

July 23, 2015 - March 31, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

BIRMINGHAM, AL

Past

July 8, 2015 - March 31, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BIRMINGHAM, AL

Past

March 16, 2015 - March 31, 2016

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

March 2, 2015 - March 31, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

March 11, 2010 - March 31, 2016

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

April 15, 2003 - October 2, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

HOUSTON, TX

Past

February 20, 2003 - October 2, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

HOUSTON, TX

Past

February 1, 2000 - February 20, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

January 25, 2000 - February 20, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 23, 1996 - December 23, 1999

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

December 6, 1994 - January 3, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

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)

Alaska
(2/20/2025)

Arizona
(2/20/2025)

Arkansas
(2/20/2025)

California
(2/20/2025)

Colorado
(2/20/2025)

Connecticut
(2/20/2025)

Delaware
(2/20/2025)

District of Columbia
(2/20/2025)

Florida
(2/20/2025)

Georgia
(2/20/2025)

Hawaii
(2/20/2025)

Idaho
(2/20/2025)

Illinois
(2/20/2025)

Indiana
(2/20/2025)

Iowa
(2/20/2025)

Kansas
(2/20/2025)

Kentucky
(2/20/2025)

Louisiana
(2/20/2025)

Maine
(2/20/2025)

Maryland
(2/20/2025)

Massachusetts
(2/20/2025)

Michigan
(2/20/2025)

Minnesota
(2/20/2025)

Mississippi
(2/20/2025)

Missouri
(2/20/2025)

Montana
(2/20/2025)

Nebraska
(2/20/2025)

Nevada
(2/20/2025)

New Hampshire
(2/20/2025)

New Jersey
(2/20/2025)

New Mexico
(2/20/2025)

New York
(2/20/2025)

North Carolina
(2/20/2025)

North Dakota
(2/20/2025)

Ohio
(2/20/2025)

Oklahoma
(2/20/2025)

Oregon
(2/20/2025)

Pennsylvania
(2/20/2025)

Rhode Island
(2/20/2025)

South Carolina
(2/20/2025)

South Dakota
(2/20/2025)

Tennessee
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Utah
(2/20/2025)

Vermont
(2/20/2025)

Virgin Islands
(2/20/2025)

Virginia
(2/20/2025)

Washington
(2/20/2025)

West Virginia
(2/20/2025)

Wisconsin
(2/20/2025)

Wyoming
(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

IAR

Series 65

Date: 7/26/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional 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: 11/23/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/2/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 9/23/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/4/1998

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/1996

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

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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Advisor Monitoring

Firm Stability Insights

Victoria A. Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victoria Ann Hale's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

INVESTMENT DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STONEX SECURITIES INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2003

Series 63

Date: 1/27/1995

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/23/1994

Series 10

Date: 3/7/2000

Series 9

Date: 2/2/2000

Series 4

Date: 9/23/1998

Series 53

Date: 3/4/1998

Series 24

Date: 10/25/1996

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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