Alan Joseph Bender

Current Employers

Employment History

• 12/2003 → 01/2020
  Cambridge Investment Reseach,Inc
  Fairfield, IA
• 07/1999 → Present
  Retirement Strategies Group, Llc
  New Orleans, LA
• 03/2005 → 01/2020
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 02/2020 → 09/2025
  Avantax Investment Services, Inc.
  Mandeville, LA
• 02/2020 → 09/2025
  Avantax Advisory Services
  Mandeville, LA
• 02/2020 → 09/2025
  Avantax Insurance Services, Inc.
  Mandeville, LA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  New Orleans, LA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2020-02-04 → 2025-09-05
  Avantax Advisory Services
  Mandeville, LA
  New Iberia, LA
  New Orleans, LA
  New Orleans, LA
  Covington, LA
• 2016-08-17 → 2020-02-13
  Cambridge Investment Research Advisors, Inc.
  Mandeville, LA
• 2005-03-28 → 2015-09-03
  Cambridge Investment Research Advisors, Inc.
  New Orleans, LA
• 2003-12-16 → 2005-03-28
  Cambridge Investment Research, Inc.
  Louisville, KY
  Mandeville, LA

Other Businesses

1) INDEPENDENT INSURANCE AGENT, POSITION: Agent NATURE: I will be referring any life insurance sales to CoSource Financial. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/30/1988 ADDRESS: 152 West Main Street, New Iberia LA 70560, United States DESCRIPTION: I do not intend on writing any new policies. I will refer any opportunities to CoSource Financial 2) COSOURCE FINANCIAL GROUP, LLC POSITION: Investment Representative NATURE: CoSource Financial Group is a full service firm with representatives of Avantax. CoSource specializes in the maintenance of qualified retirement plans. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/20/2022 ADDRESS: 152 West Main Street, New Iberia LA 70560, United States DESCRIPTION: My role will be to work with the advisors of CoSource on the following: Qualified Plans where we will work with the plan sponsor to help design an investment menu, educate the employees of the company and provide support to the retirement plan committee; For Individual investment clients, we will work on financial plans using Avantax approved software to help client prepare and invest for retirement. 3)RETIREMENT STRATEGIES GROUP, LLC POSITION: Partner - Vice President NATURE: Retirement Strategies Group, LLC acts as a third party administrator for qualified retirement plans. We prepare plan documents, compliance testing and Form 5500 preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1999 ADDRESS: 800 West Commerce Road, Suite 105, New Orleans LA 70123, United States DESCRIPTION: My duties include sales and service, operations and supervisor responsibilities. 4) RETIREMENT STRATEGIES GROUP, LLC POSITION: Partner - Vice President NATURE: Retirement Strategies Group, LLC acts as a third party administrator for qualified retirement plans. We prepare plan documents, compliance testing and Form 5500 preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1999 ADDRESS: 800 West Commerce Road, Suite 105, New Orleans LA 70123, United States DESCRIPTION: My duties include sales and service of TPA services for qualified retirement plans. I also assist in the training of staff and reviewing of TPA compliance work.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-08-15
• S66 Uniform Combined State Law Examination
  1999-10-20

Other Names

• Joey Bender
• Alan Joseph Bender
• Alan J Bender