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Alan Thompson

Cetera Investment Advisers LLC
19 Years of Experience
Cumming, GA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Alan Thompson is a registered investment advisor at Cetera Investment Advisers LLC, based in Cumming, GA, with 19 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Cumming, GA

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History

Regulatory History (1)
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Customer Dispute
December 2011
Denied
View Full SEC ReportHow to Read Disclosures
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 8 mos
Cetera Investment Advisers LLC
February 2025 - Present · 1 yr 8 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.
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