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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 | 2023-06-30 |
| TX | RA | APPROVED | 2023-06-20 |
Branch Locations
555 Dowlen Rd, Beaumont, TX 77706 • United States
3401 Ryan Street, Lake Charles, LA 70605 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 06/2009 | 08/2021 |
| Bbva Securities Inc. | Beaumont | TX | 05/2013 | 08/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 07/2009 | 08/2021 |
| Bbva Wealth Solutions Inc. | Beaumont | TX | 04/2015 | 08/2021 |
| Pnc Investments | Lumberton | TX | 08/2021 | 06/2022 |
| Raymond James Financial Services Inc | Victoria | TX | 06/2022 | 06/2023 |
| Raymond James Financial Services Advisors | Victoria | TX | 06/2022 | 06/2023 |
| Prosperity Private | Beaumont | TX | 06/2022 | 06/2023 |
| Cetera Investment Services Llc | Saint Cloud | MN | 06/2023 | Present |
| Cetera Investment Advisers Llc | Lake Charles | LA | 06/2023 | Present |
| Hancock Whitney Bank | Lake Charles | LA | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-16 |
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