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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 2024-03-21
TX RA APPROVED_RES 2024-03-21
  • LA RA
    APPROVED
    Since 2024-03-21
  • TX RA
    APPROVED_RES
    Since 2024-03-21

Branch Locations

Baton Rouge, LA • United States

15015 Jamestown Blvd Suite 100, Baton Rouge, LA 70810 • 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
Cetera Advisors Llc Denver CO 01/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Previous Registrations
  • 2004-07-28 → 2009-03-24
    Baton Rouge, LA
    Baton Rouge, LA
  • 2004-02-23 → 2004-07-23
    Cetera Advisors Llc
    Baton Rouge, LA
Other Businesses

1) NAME OF OTHER BUSINESS: HORIZON WEALTH MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY UNDER WHICH MULTIPLE BUSINESS ENTITIES OPERATE; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR DUTIES; 2) HWM HOLDINGS, LLC, NOT INVESTMENT RELATED, SAME ADDRESS AS THE REGISTERED BRANCH, REAL ESTATE HOLDING LLC / OFFICE BUILDING, START MARCH 2014, 1 HOUR PER MONTH - NOT DURING TRADING HOURS, CO-OWNER. 3) NAME OF OTHER BUSINESS: HORIZON RETIREMENT PLAN SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENTITY FOR RETIREMENT PLAN SERVICING / DBA FOR FINANCIAL SERVICES; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: HORIZON FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: HORIZON ADVISOR NETWORK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2021 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE; 7) NAME OF OTHER BUSINESS: BUSH FITNESS, LLC DBA F45 FITNESS; INVESTMENT RELATED: NO; ADDRESS: 9730 BLUEBONNET BLVD, BATON ROUGE, LA 70810; NATURE OF BUSINESS: FITNESS CENTER; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: MEMBER OF LLC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NO DUTIES; 8) NAME OF OTHER BUSINESS: LOUISIANA ATTORNEY DISCIPLINARY BOARD; INVESTMENT RELATED: NO; ADDRESS: 2800 VETERANS MEMORIAL BLVD SUITE 310 METAIRIE, LA 70002 NATURE OF BUSINESS: BOARD; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: HEARING COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW ADMINISTRATIVE WORK FOR APPEALS OF COMPLAINT DISMISSALS, APPROVAL OF ADMONITION OR FINAL CHANGES; 9) NAME OF OTHER BUSINESS: RETIREMENT ADVISOR COUNCIL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORK GROUP; START DATE: 1/2026; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROFESSIONAL ORGANIZATION THAT SPECIALIZES IN RETIREMENT PLAN WORK & SHARES IDEAS, PERSPECTIVES AND INSIGHTS WITH ONE ANOTHER; 10) NAME OF OTHER BUSINESS: HEART OF HORIZON; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CHARITY; START DATE: 3/2026; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: VOLUNTEER WORK;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-05-13
  • S63 Uniform Securities Agent State Law Examination
    2002-05-13

View on SEC IAPD

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