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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2022-08-10
TX RA APPROVED_RES 2022-08-10
  • LA RA
    APPROVED
    Since 2022-08-10
  • TX RA
    APPROVED_RES
    Since 2022-08-10

Branch Locations

10009 Jefferson Highway Suite A, River Ridge, LA 70123 • United States

701 Poydras Street, New Orleans, LA 70139 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Hancock Investment Services, Inc. Baton Rouge LA 07/2003 08/2022
Cetera Investment Services Llc Saint Cloud MN 08/2022 Present
Cetera Investment Advisers Llc River Ridge LA 08/2022 Present
Hancock Whitney Bank River Ridge LA 08/2022 Present
  • 07/2003 → 08/2022
    Hancock Investment Services, Inc.
    Baton Rouge, LA
  • 08/2022 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2022 → Present
    River Ridge, LA
  • 08/2022 → Present
    Hancock Whitney Bank
    River Ridge, LA
Previous Registrations
  • 2003-08-14 → 2022-08-10
    Harahan, LA
    New Orleans, LA
    New Orleans, LA
    Baton Rouge, LA
    New Orleans, LA
    New Orleans, LA
    New Orleans, LA
    New Orleans, LA
    Harvey, LA
    Zachery, LA
    Gretna, LA
    New Orleans, LA
    Pass Christian, MS
    Bay St Louis, MS
    Bay St Louis, MS
    Bay St Louis, MS
    Waveland, MS
    Bay St. Louis, MS
    Denham Springs, LA
    Denham Springs, LA
    New Orleans, LA
    Harahan, LA
    River Ridge, LA
  • 2000-08-14 → 2003-07-30
    New Orleans, LA
Other Businesses

1. SALE OF PREMIUM FINANCE LIFE INSURANCE WITH VARIOUS PARTNERS 2. PARTNER AND OWNER OF SEVEN OAKS DEVELOPMENT, LLC; MINERAL LEASE OWNERSHIP IN OIL/GAS WELL; CO-OWNED WITH BROTHER 3. HAPPY JACK LLC, BOAT FOR LEISURE, 33% OWNER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-19
S65 Uniform Investment Adviser Law Examination 1999-11-04
S63 Uniform Securities Agent State Law Examination 1989-06-23
  • S66 Uniform Combined State Law Examination
    2015-11-19
  • S65 Uniform Investment Adviser Law Examination
    1999-11-04
  • S63 Uniform Securities Agent State Law Examination
    1989-06-23

View on SEC IAPD

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