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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2023-08-10 |
| TX | RA | APPROVED_RES | 2023-08-10 |
Branch Locations
3445 North Causeway Blvd Ste 1000, Metairie, LA 70002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-20 |
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