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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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 2022-08-10
TX RA APPROVED 2022-08-10
  • LA RA
    APPROVED
    Since 2022-08-10
  • TX RA
    APPROVED
    Since 2022-08-10

Branch Locations

525 Florida Ave Sw, Denham Springs, LA 70726 • United States

701 Poydras Street, New Orleans, LA 70139 • 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
Hancock Investment Services, Inc. Baton Rouge LA 02/1999 08/2022
Cetera Investment Services Llc Saint Cloud MN 08/2022 Present
Cetera Investment Advisers Llc Denham Springs LA 08/2022 Present
Hancock Whitney Bank Denham Springs LA 02/1999 Present
  • 02/1999 → 08/2022
    Hancock Investment Services, Inc.
    Baton Rouge, LA
  • 08/2022 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2022 → Present
    Denham Springs, LA
  • 02/1999 → Present
    Hancock Whitney Bank
    Denham Springs, LA
Previous Registrations
  • 2007-10-24 → 2022-08-10
    Houma, LA
    Houston, TX
    Thibodaux, LA
    Denham Springs, LA
    Kenner, LA
    Lafayette, LA
    Baton Rouge, LA
    Houston, TX
    New Orleans, LA
    Lake Charles, LA
    Kenner, LA
    Gonzales, LA
    Covington, LA
    Covington, LA
    Mandeville, LA
    River Ridge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Pensacola, FL
    Ponte Vedra Beach, FL
    Pensacola, FL
    Jacksonville, FL
    Pensacola, FL
    New Orleans, LA
    Jefferson, LA
    Baton Rouge, LA
    Ville Platte, LA
    Alexandria, LA
    Eunice, LA
    Pineville, LA
    Alexandria, LA
    Opelousas, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baker, LA
    Baton Rouge, LA
    Baton Rouge, LA
    St Francisville, LA
    Albany, LA
    Denham Springs, LA
    Denham Springs, LA
    Springfield, LA
    Walker, LA
    Watson, LA
    Hammond, LA
    Loranger, LA
    Independence, LA
    Hammond, LA
    Ponchatoula, LA
    Hammond, LA
    Slidell, LA
    Mandeville, LA
    Ville Platte, LA
    Alexandria, LA
    Eunice, LA
    Pineville, LA
    Alexandria, LA
    Hattiesburg, MS
    Purvis, MS
    Purvis, MS
    Prentiss, MS
    Petal, MS
    Sumrall, MS
    Hattiesburg, MS
    Hattiesburg, MS
    Hattiesburg, MS
    Gonzales, LA
    Covington, LA
    Opelousas, LA
    Metairie, LA
    Kenner, LA
    Baton Rouge, LA
    Metairie, LA
    Zachary, LA
    Ville Platte, LA
    Alexandria, LA
    Opelousas, LA
    Palm Coast, FL
    Eunice, LA
    Pineville, LA
    Alexandria, LA
    Pensacola, FL
    Mandeville, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Pensacola, FL
    Gulf Breeze, FL
    Pace, FL
    Panama City, FL
    Pensacola, FL
    Shalimar, FL
    Niceville, FL
    Tallahassee, FL
    Tallahassee, FL
    Tallahassee, FL
    Panama City, FL
    Panama City, FL
    Panama City, FL
    Panama City, FL
    Sarasota, FL
    Baton Rouge, LA
    Bradenton, FL
    Bradenton, FL
    New Orleans, LA
    Harvey, LA
Other Businesses

1.) SOUTHERNLY SOCIAL LLC, EVENT PLANNING, GIFT CONCIERGE & CREATIVE WRITING PROMOTION, 1-10/HRS/WK.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-16
S63 Uniform Securities Agent State Law Examination 1995-03-07
  • S65 Uniform Investment Adviser Law Examination
    2007-08-16
  • S63 Uniform Securities Agent State Law Examination
    1995-03-07

View on SEC IAPD

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