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Carl Stringfellow
26 Years of Experience
Pelham, AL
Broker
Carl Stringfellow is a registered investment advisor at Cetera Investment Advisers LLC, based in Pelham, AL, with 26 years of industry experience. Carl operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
2964 Pelham Parkway, Pelham, AL, 35124
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
May 2016 - Present · 10 yrs
Cetera Investment Services LLCBroker
January 2013 - Present · 13 yrs 4 mos
Previous Registrations
Morgan Keegan & Company, INC.Broker
February 2007 - March 2012 · 5 yrs 1 mo
Amsouth Investment Services, INC.
August 2000 - March 2003 · 2 yrs 7 mos
Amsouth Investment Services, INC.Broker
December 1998 - February 2007 · 8 yrs 2 mos
State Registrations1 state
AL
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.