CV
Clinton D. Vance
CETERA INVESTMENT ADVISERS LLC
HOMEWOOD, AL 35203
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CRD#: 6222550
CV
Professional summary
Clinton David Vance, who also goes by Clint D Vance, Clint Vance, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Homewood, Alabama and CETERA WEALTH SERVICES, LLC located in Homewood, Alabama.
Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Clinton has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clint D Vance | Clint Vance
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.
HOOVER SOCCER CLUB; Non-Investment Related; 2539 John Hawkins Pkwy, Ste 101-223, Hoover, AL 35244; Other; Academy Club Coach; Start Date 08/2021; 30 to 40 hours per month with no hours per month occurring during trading hours; I am a paid coach for the competitive club team for the (U10) Boys Team. I am responsible for scheduling and running practices, developing these young men into well rounded soccer players, maintaining our team roster, registering the team for tournaments, and scheduling regular season games.
CRS (Client Relationship Summary) - RIA
Click below to view Clinton David Vance'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 25, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 15340
HOMEWOOD, AL
Current
February 25, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 10358
HOMEWOOD, AL
Current
February 25, 2025 - Present
CETERA ADVISORS LLC
Office #1: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 10299
HOMEWOOD, AL
Past
March 7, 2014 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
March 5, 2014 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
Past
August 19, 2013 - February 20, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
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
Arizona(2/20/2025)
RR
Georgia(2/20/2025)
RR
Illinois(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/27/2025)
RR
Utah(2/20/2025)
RR
Virginia(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Homewood, AL 35203TRUST BUT VERIFY
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