Aaron K. Gammon

CETERA INVESTMENT ADVISERS LLC

BESSEMER, AL 35022

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CRD#: 4280484

Professional summary

Aaron Keith Gammon, who also goes by Keith Gammon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bessemer, Alabama and CETERA INVESTMENT SERVICES LLC located in Hoover, Alabama.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Aaron has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Gammon

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.

1. SECRETARY FOR OUR SAVIOR LUTHERAN CHURCH, KEEPING MINUTES AND FILING THEM, DOES NOT MAKE INVESTMENT DECISIONS, NOT A CHECKWRITER 1HR WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Keith Gammon'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1290 Greenmor Dr Se, Bessemer, AL 35022

RIA

CRD#: 105644

BESSEMER, AL

Current

April 13, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2050 Parkway Office Circle 4th Fl, Hoover, AL 35244Office #2: 1290 Greenmor Dr Se, Bessemer, AL 35022

CRD#: 15340

Hoover, AL

Past

April 13, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

FAIRFIELD, AL

Past

July 14, 2008 - April 9, 2013

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

August 22, 2005 - April 9, 2013

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

November 26, 2002 - August 22, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

October 11, 2001 - April 25, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 23, 2000 - November 24, 2000

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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
(4/13/2013)

IAR

Alabama
(1/21/2014)

California
(3/18/2016)

Delaware
(6/10/2019)

Florida
(1/11/2016)

Georgia
(9/26/2013)

Indiana
(9/8/2020)

Louisiana
(9/29/2015)

Maryland
(6/14/2018)

North Carolina
(11/21/2016)

Oregon
(10/16/2017)

South Carolina
(4/19/2024)

Tennessee
(12/20/2019)

Texas
(5/19/2020)

IAR

Texas
(1/12/2023)

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: 10/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/6/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/10/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/27/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/15/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2006

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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Advisor Monitoring

Firm Stability Insights

Aaron K. Gammon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Keith Gammon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

STERNE, AGEE & LEACH, INC.

A. G. EDWARDS & SONS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2007

Series 63

Date: 11/1/2001

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/6/2009

Series 7

Date: 10/10/2001

Series 6

Date: 10/20/2000

Series 9

Date: 2/27/2008

Series 10

Date: 2/15/2008

Series 24

Date: 10/26/2006

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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