Alan G. Thompson

CETERA INVESTMENT ADVISERS LLC

CUMMING, GA

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CRD#: 5203183

Professional summary

Alan Greer Thompson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cumming, Georgia and CETERA WEALTH SERVICES, LLC located in Cumming, Georgia.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Alan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) AGT FINANCIAL LLC; Investment Related; Residence, Cumming, GA; Insurance and Financial Services; 1) Adviser; Start Date 07/2014; 60 hours per month; I market securities and insurance products as well as provide investment advice; 2) Agent; Start Date 05/2016; 10 hours per month; In conjunction with my securities and advisory business, I sell life insurance to those clients that have a need for it.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Greer Thompson'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CUMMING, GA

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Cumming, GA

Past

February 26, 2007 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Cumming, GA

Past

February 14, 2007 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Cumming, GA

Past

November 29, 2006 - January 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ALPHARETTA, GA

Past

November 3, 2006 - January 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ALPHARETTA, GA

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
(2/20/2025)

Florida
(2/20/2025)

Georgia
(2/20/2025)

IAR

Georgia
(2/20/2025)

Kentucky
(2/20/2025)

Minnesota
(2/20/2025)

North Carolina
(2/20/2025)

Ohio
(2/20/2025)

South Carolina
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Washington
(2/20/2025)

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 66

Date: 11/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2006

General Securities Representative 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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Firm Stability Insights

Alan G. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Greer Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/2/2006

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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