TP
Timothy O. Pitts
CETERA INVESTMENT ADVISERS LLC
BIRMINGHAM, AL 35223
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CRD#: 4077977
TP
Professional summary
Timothy Obrine Pitts, who also goes by Tim Pitts, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Timothy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Pitts
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.
TOP FINANCIAL ADVISORS; Investment Related; Birmingham, AL 35209; Investments; Owner; Start Date 01/1996; 30 hours per month, more or less, with a portion of those hours per month occurring during trading hours; Financial Planning services. >> LISCHKOFF & PITTS PC; Non-Investment Related; Birmingham, AL 35209; Tax Consulting & Preparation; President; Start Date 01/01/1989; 160 hours per month, more or less, with most of those hours occurring during trading hours. >> INDAGO DEVICES INC; Non-Investment Related; Birmingham AL 35209; Technology; President/Owner; Start Date: 11/2017; 1 hour per month; Develop RFID chips. >> EVERETT SHEPHERD LIMITED LIABILITY LIMITED PARTNERSHIP; Non-Investment Related; Birmingham, AL 35209; Real Estate Rentals; Limited Partner; No hours per month; No specific duties as a limited partner. >> SHEPHERD TRUST; Non-Investment Related; Birmingham, AL 35209; Trust; Trustee; Start Date 10/2007; No hours per month; Trustee of a Revocable Trust. >> OBRINE PROPERTIES, LLC & TIMOTHY PITTS TIC; Non-Investment Related; Birmingham, AL 35209; Real Estate Rentals; Owner; Start Date 05/2005; 10 hours per month, more or less, with no hours during trading hours; Various Passive Real Estate Investments, Landlord/property owner. >> UPLAND FINANCIAL ADVISORS LLC; Investment Related; Birmingham, AL; Other; Member; Start Date 04/2024; 50 hours per month with those 50 hours occurring during trading hours; Providing investment advisory services. >> WESVIEW INC; Non-Investment Related; Birmingham, AL 35209; Other; President; Start Date 05/1995; No hours per month; Family business that I did handle the accounting and tax filings for. Due to COVID 19 the business was discontinued but we are keeping the corporation open. >> UPLAND INVESTMENT GROUP LLC; Investment Related; Birmingham, AL; Other; Member; Start Date 01/2025; 80 hours per month with some hours per month occurring during trading hours; I offer securities and investment related products and services. >> LISCHKOFF PITTS WISEMAN LLC; Non-Investment Related; Birmingham, AL; Accountant; CPA/Employee; Start Date 01/2025; 120 hours per month with 85 of those hours per month occurring during trading hours; I am a CPA for a Public Accounting Firm.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Obrine Pitts'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: 3100 Independant Drive Suite 100, Birmingham, AL 35209BD
CRD#: 13572
Birmingham, AL
Past
July 13, 2000 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
December 17, 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
Arkansas(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
North Carolina(2/20/2025)
Exams
State Security Law 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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Birmingham, AL 35223TRUST BUT VERIFY
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