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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 |
|---|---|---|---|---|
| Securian Financial Services | St. Paul | MN | 01/2009 | 08/2023 |
| Minnesota Life Insurance Company | St. Paul | MN | 01/2009 | 08/2023 |
| Compass Capital Management | Metairie | LA | 01/2009 | Present |
| Cetera Wealth Services, Llc | Metairie | LA | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | Present |
1) COMPASS CAPITAL MANAGEMENT POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2019 ADDRESS: , Metairie LA , United States DESCRIPTION: Agent/Broker 2) NAME OF OTHER BUSINESS: COMPASS CAPITAL MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2009, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-13 |
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