AE
Albert Ellison
CETERA INVESTMENT ADVISERS LLC
BIRMINGHAM, AL 35223
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CRD#: 3174386
AE
Professional summary
Albert Ellison Jr, who also goes by Al Ellison, Albert Ellison, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Albert has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Ellison | Albert Ellison
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) ELLISON FINANCIAL GROUP INC; Investment Related; 2100 Providence Park, Ste 250, Birmingham AL 35242; Financial Services; President; Start Date 01/1996; 80 hours per month; Work with clients to address their investment and insurance needs and/or requests. >> ADVISORY BOARD MEMBER FOR TRUIST BANK; Non-Investment Related; 2501 20th Pl S Ste 101, Birmingham AL 35223; Board Member; Advisory Board Member; Start Date 10/2010; 1 hour per month; Provide feedback to the bank to assist them in tailoring services desired by potential commercial banking customers and to consider referring commercial banking customers where appropriate (TRUIST was formerly known as BB&T). I serve in the capacity as a CPA from Elllison & Ellison PC. >> TWIN BRIDGE HOA; Non-Investment Related; Other; Treasurer; 1797 Twin Bridge Drive, Birmingham, AL 35243; Start Date 07/2010; No hours per month; Collect dues, pay bills and remediate complaints. >> ELLISON & ELLISON, PC; Non-Investment Related; 2100 Providence Park, Ste 250, Birmingham AL 35242; CPA Firm; Managing Shareholder; Start Date 01/1996; 180 hours per month; Provide CPA services and oversee management of this CPA firm. >> PROVIDENCE PARK OWNER'S ASSOCIATION; Non-Investment Related; 2100 Providence Park, Birmingham AL 35242; Other; Board Member; Start Date 06/2017; 1 hour per month; This board is similar to a homeowner's association, except it is for office condominiums. There is an association manager that works towards maintaining the appearance of and value of the office condominium complex; the board provides guidance on those issues as requested and approves or denies related matters. >> ELLISON INVESTMENTS, LLC; Non-Investment Related; 2100 Providence Park, Suite 250, Birmingham AL 35242; Other; Owner; Start Date 02/2005; No hours per month; Office rental, single member LLC. >> WILLIAM MARK HAND IRREVOCABLE TRUST; Non-Investment Related; 4337 Kings Mountain Ridge, Birmingham AL 35242; Trust; Trustee; Start Date 01/2016; No hours per month; Duties include processing payment(s) for two annual life insurance policy premiums. >> RACING FOR CHILDREN'S; Non-Investment Related; 56 Cross Creek Drive, Mountain Brook, AL 35213; Other; Board Member - Treasurer; Start Date 01/2023; 4 hours per month with no hours per month occurring during trading hours; I assist the charity with bookkeeping and tax compliance. >> UAB ACCOUNTING ADVISORY BOARD; Non-Investment Related; Birmingham, AL; Board Member; Accounting Advisory Board Member; Start Date 09/2022; 1 hour more or less per month; Attend non-regular scheduled meetings to discuss the UAB accounting program.
CRS (Client Relationship Summary) - RIA
Click below to view Albert Ellison Jr'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: 2100 Providence Park Suite 250, Birmingham, AL 35242BD
CRD#: 13572
Birmingham, AL
Past
May 11, 1999 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
March 5, 1999 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
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
California(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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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