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KATIE ESSER HAMMOCK
KATIE L ESSER, KATIE LYNN ESSER
CRD#: 5147783
IA
Investment Adviser
B
Broker
RFG ADVISORY, LLCCRD#: 158401 1400 URBAN CENTER DRIVE
SUITE 475
VESTAVIA HILLS, AL 35242
PRIVATE CLIENT SERVICES, LLCCRD#: 120222 248 Inverness Center Drive
Birmingham, AL 35242
Registration History
201020122014201620182020202220242 FIRMS2018 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2015 - 2018 (3 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2010 - 2015 (4 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2011 - 2015 (4 years)
License(s)

State Registrations

IA
Alabama 4/24/2018

B
Georgia 2/7/2020

B
Alabama 6/4/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RFG ADVISORY, LLC (CRD#:158401)
1400 URBAN CENTER DRIVE SUITE 475, VESTAVIA HILLS, AL 35242
Registered with this firm since 4/24/2018

B
PRIVATE CLIENT SERVICES, LLC (CRD#:120222)
248 Inverness Center Drive, Birmingham, AL 35242
Registered with this firm since 6/4/2018

Previous Registration(s)
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B
06/24/2015 - 06/08/2018 LPL FINANCIAL LLC (CRD#:6413) VESTAVIA HILLS, AL
IA
06/03/2011 - 07/08/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BIRMINGHAM, AL
B
10/08/2010 - 07/08/2015 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BIRMINGHAM, AL
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.