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Todd Sherman Gautreaux

Harger And Company, Inc.

Baton Rouge, LA

Baton Rouge, LA

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Current Employers
Harger And Company, Inc.

8048 One Calais Ave Suite D, Baton Rouge, LA 70809 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2020-09-03
  • LA RA
    APPROVED
    Since 2020-09-03

Branch Locations

8048 One Calais Ave Suite D, Baton Rouge, LA 70809 • United States

8048 One Calais Ave Suite D, Baton Rouge, LA 70809 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St.CLoud MN 06/2015 05/2020
Cetera Investment Advisers Llc Alexandira LA 06/2015 05/2020
Red River Bank Alexandira LA 06/2015 08/2020
Lpl Financial Llc Alexandria LA 05/2020 07/2020
Harger And Company, Inc. Baton Rouge LA 08/2020 Present
Previous Registrations
  • 2020-05-13 → 2020-08-27
    Lpl Financial Llc
    Alexandria, LA
    Slidell, LA
    Baton Rouge, LA
    Alexandria, LA
    Covington, LA
    Lake Charles, LA
  • 2015-06-01 → 2020-05-13
    Cetera Investment Advisers Llc
    Alexandria, LA
  • 2015-01-28 → 2015-06-05
    Capital One Advisors, Llc
    Seattle, WA
  • 2012-02-07 → 2015-01-28
    Capital One Financial Advisors Llc
    Melville, NY
    New Orleans, LA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-06
S63 Uniform Securities Agent State Law Examination 2007-05-21
  • S65 Uniform Investment Adviser Law Examination
    2012-02-06
  • S63 Uniform Securities Agent State Law Examination
    2007-05-21

View on SEC IAPD

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