Individual Firm
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JASON ALLAN SPIVEY
CRD#: 5758941
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 351 HUGHES RD
MADISON, AL 35758
MADISON, AL 35758
CETERA INVESTMENT SERVICES LLCCRD#: 15340 351 HUGHES RD
MADISON, AL 35758
MADISON, AL 35758
0
Disclosures
14
Years of Experience
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State Registrations
B
Alabama 1/21/2016
B
Indiana 1/20/2021
IA
Alabama 1/21/2016
B
Nevada 1/21/2016
B
California 1/21/2016
B
North Carolina 7/20/2020
B
Florida 5/15/2020
B
Tennessee 1/21/2016
B
Georgia 1/21/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 1/21/2016
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Registered with this firm since 1/21/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/22/2012 - 02/01/2016 | DECATUR, AL | |
B | 05/22/2012 - 02/01/2016 | DECATUR, AL | |
IA | 05/03/2010 - 05/22/2012 | DECATUR, AL | |
B | 04/09/2010 - 05/22/2012 | DECATUR, AL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.