WH
William A. Hood
CETERA INVESTMENT ADVISERS LLC
HOMEWOOD, AL 35203
Some features on this profile are disabled
CRD#: 4751509
WH
Professional summary
William Austin Hood, who also goes by Bill Hood, William A Hood, William Austin Hood, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Homewood, Alabama and CETERA WEALTH SERVICES, LLC located in Homewood, Alabama.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Hood | William A Hood | William Austin Hood
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. NAME OF OTHER BUSINESS: THE EMMAUS TABLE INC. INVESTMENT RELATED: NO; ADDRESS: 5557 HEATH ROW DR, BIRMINGHAM, AL 35242; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: KEEP MEETING NOTES AND VOTING ON VARIOUS INITIATIVES;
CRS (Client Relationship Summary) - RIA
Click below to view William Austin Hood'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: 2820 Central Avenue, Homewood, AL 35203RIA
CRD#: 105644
HOMEWOOD, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 13572
HOMEWOOD, AL
Current
February 21, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245Office #2: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 15340
El Segundo, CA
Current
February 21, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245Office #2: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 10358
El Segundo, CA
Current
February 21, 2025 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 10299
El Segundo, CA
Past
September 20, 2016 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
September 20, 2016 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
Past
June 30, 2015 - September 7, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
BIRMINGHAM, AL
Past
June 29, 2015 - September 7, 2016
BBVA SECURITIES INC.
BD
CRD#: 27060
BIRMINGHAM, AL
Past
February 28, 2012 - June 19, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
January 6, 2012 - June 19, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
July 8, 2005 - January 4, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
Past
May 24, 2004 - July 5, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Alaska(2/20/2025)
RR
Arizona(2/20/2025)
RR
Arkansas(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Maine(2/20/2025)
RR
Maryland(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
Montana(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Hampshire(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
Rhode Island(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/27/2025)
RR
Utah(2/20/2025)
RR
Vermont(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wisconsin(2/20/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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#: 105644Homewood, AL 35203TRUST BUT VERIFY
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