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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
TX RA APPROVED_RES 2019-04-10
LA RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2019-04-10
  • LA RA
    APPROVED
    Since 2014-01-21

Branch Locations

7777 Jefferson Highway, Baton Rouge, LA 70809 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Regions Bank Baton Rouge LA 05/2013 Present
Cetera Investment Services Llc St. Cloud MN 05/2013 Present
Cetera Investment Advisers Llc Baton Rouge LA 01/2014 Present
  • 05/2013 → Present
    Regions Bank
    Baton Rouge, LA
  • 05/2013 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Baton Rouge, LA
Previous Registrations
  • 2009-12-16 → 2013-05-09
    Baton Rouge, LA
  • 2005-02-11 → 2009-12-17
    Morgan Keegan & Company, Llc
    Prairieville, LA
    Baton Rouge, LA
Other Businesses

1.)Volunteer Coach for soccer and baseball, 3 hrs per wk, no compensation, no securities clients

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-06-30
  • S63 Uniform Securities Agent State Law Examination
    2004-06-30

View on SEC IAPD

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