Best Investors Account Sign in
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 2023-08-10
TX RA APPROVED_RES 2023-08-10
  • LA RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED_RES
    Since 2023-08-10

Branch Locations

3445 North Causeway Blvd Ste 1000, Metairie, LA 70002 • 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
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
  • 01/2009 → 08/2023
    Securian Financial Services
    St. Paul, MN
  • 01/2009 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 01/2009 → Present
    Compass Capital Management
    Metairie, LA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Metairie, LA
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2009-03-05 → 2023-08-10
    Securian Financial Services, Inc.
    Metairie, LA
    St. Paul, MN
Other Businesses

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;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-09
S63 Uniform Securities Agent State Law Examination 2005-06-13
  • S65 Uniform Investment Adviser Law Examination
    2009-02-09
  • S63 Uniform Securities Agent State Law Examination
    2005-06-13

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Metairie, LA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor