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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 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • LA RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

3445 North Causeway Blvd Ste 1000, Metairie, LA 70002 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Mutual St Paul MN 06/1996 08/2023
Securian Financial Services, Inc. Metairie LA 06/1996 08/2023
Cc Brokerage Metairie LA 06/2002 Present
Cetera Wealth Services, Llc Metairie LA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 06/1996 → 08/2023
    Minnesota Mutual
    St Paul, MN
  • 06/1996 → 08/2023
    Securian Financial Services, Inc.
    Metairie, LA
  • 06/2002 → Present
    Cc Brokerage
    Metairie, LA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Metairie, LA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-06-18 → 2023-08-10
    Securian Financial Services, Inc.
    Ocean Springs, MS
    Metairie, LA
    St. Paul, MN
Other Businesses

CC BROKERAGE POSITION: Owner NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2002 ADDRESS: , Metairie LA , United States DESCRIPTION: Owner JEC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 102 Windsor Lane, Unit 1, Williamsburg VA 23185, United States DESCRIPTION: Purchased a condo in Williamsburg where my son is attending college for him to live in while there and he will have a room mate that will pay rent to him for expenses on the condo. Once he graduates I plan to sell it. I do not plan to keep it and get additional renters. Formed LLC for liability purposes. COMPASS CAPITAL MANAGEMENT POSITION: Officer NATURE: Business Owner INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2001 ADDRESS: 3445 N. CAUSEWAY BLVD., Suite 1000, Metairie LA 70002, United States DESCRIPTION: LLC used to run business for financial products and services. I am the owner, manager/member, officer, and employee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-12
S63 Uniform Securities Agent State Law Examination 1996-08-20
  • S65 Uniform Investment Adviser Law Examination
    2016-07-12
  • S63 Uniform Securities Agent State Law Examination
    1996-08-20
Other Names
  • Joe Cantrell
  • Joseph Scott Cantrell

View on SEC IAPD

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