VS
Vincent R. Sotelo
INVESTMENT DISTRIBUTORS
Birmingham, AL 35223
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CRD#: 4248461
VS
Professional summary
Vincent Ray Sotelo, who also goes by VIncent Ray Sotelo, Vincente Ray Sotelo, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Birmingham, Alabama.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2000. Vincent has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent Ray Sotelo | Vincente Ray Sotelo
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.
CRS (Client Relationship Summary) - BD
Click below to view Vincent Ray Sotelo'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
January 3, 2022 - Present
INVESTMENT DISTRIBUTORS, INC.
Office #1: 2801 Highway 280 South, Birmingham, AL 35223BD
CRD#: 35490
Birmingham, AL
Past
June 4, 2019 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Greenwood Village, CO
Past
February 17, 2004 - June 3, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
September 11, 2000 - May 1, 2003
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/3/2022)
RR
Arkansas(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2022)
RR
Georgia(1/3/2022)
RR
Illinois(1/21/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Maryland(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(3/30/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Nebraska(1/3/2022)
RR
New Jersey(1/6/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
Ohio(1/3/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(1/3/2022)
RR
South Carolina(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESTMENT DISTRIBUTORS, INC.
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2801 Highway 280 South, Birmingham, AL 35223
Mailing Address
2801 Highway 280 South, Birmingham, AL 35223
Phone number
(205) 868-3073
Established
Tennessee since 08/30/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEE, FELICIA MALLOCH | SECRETARY | 7498538 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | SR ANALYST FINANCIAL REPORTING | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490Birmingham, AL 35223TRUST BUT VERIFY
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