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Alan Thompson
19 Years of Experience
Cumming, GA
1 DisclosureBrokerSells Insurance
Alan Thompson is a registered investment advisor at Cetera Investment Advisers LLC, based in Cumming, GA, with 19 years of industry experience. Alan 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
Cumming, GA
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Regulatory History (1)
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Customer Dispute
December 2011Denied
Other Business ActivitiesSells Insurance
Alan markets securities and insurance products and provides investment advice through AGT Financial LLC. He also sells life insurance to clients, dedicating a few hours per week to this activity.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
February 2025 - Present · 1 yr 7 mos
Cetera Investment Advisers LLC
February 2025 - Present · 1 yr 7 mos
Previous Registrations
Concourse Financial Group Advisors
February 2007 - February 2025 · 18 yrs
Concourse Financial Group Securities, INC.Broker
February 2007 - February 2025 · 18 yrs
Ameriprise Financial Services, INC.
November 2006 - January 2007 · 2 mos
Ameriprise Financial Services, INC.Broker
November 2006 - January 2007 · 2 mos
State Registrations10 states
ALFLGAKYMNNCOHSCTXWA
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.