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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 2018-05-08
TX RA APPROVED 2018-05-08
  • LA RA
    APPROVED
    Since 2018-05-08
  • TX RA
    APPROVED
    Since 2018-05-08

Branch Locations

110 Beele Teere Blvd, Laplace, LA 70068 • 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
Morgan Stanley Smith Barney Llc New Orleans LA 11/2015 09/2016
Morgan Stanley Private Bank, N.A. New York NY 02/2016 09/2016
Capital One Investing, Llc Destrehan LA 02/2017 05/2018
None Kenner LA 10/2016 01/2017
Cetera Investment Advisers Llc Laplace LA 05/2018 Present
Regions Bank Laplace LA 05/2018 Present
Cetera Investment Services Llc St. Cloud MN 05/2018 Present
  • 11/2015 → 09/2016
    Morgan Stanley Smith Barney Llc
    New Orleans, LA
  • 02/2016 → 09/2016
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 02/2017 → 05/2018
    Capital One Investing, Llc
    Destrehan, LA
  • 10/2016 → 01/2017
    None
    Kenner, LA
  • 05/2018 → Present
    Laplace, LA
  • 05/2018 → Present
    Regions Bank
    Laplace, LA
  • 05/2018 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2017-03-07 → 2018-05-03
    Capital One Advisors, Llc
    Destrehan, LA
    Mclean, VA
  • 2016-02-08 → 2016-09-01
    New Orleans, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-08
  • S66 Uniform Combined State Law Examination
    2016-02-08

View on SEC IAPD

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