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Sallie D Caruthers

Cetera Investment Advisers LLC

Houston, TX

Houston, TX

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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
TX RA APPROVED 2025-09-16
  • TX RA
    APPROVED
    Since 2025-09-16

Branch Locations

Houston, TX • United States

3200 Kirby Drive Suite 1100, Houston, TX 77098 • 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
Bbva Securities Inc. Houston TX 02/2014 04/2019
Compass Bank Birmingham AL 02/2002 04/2019
Bbva Compass Insurance Agency, Inc. Austin TX 06/2009 04/2019
Hancock Whitney Bank Houston TX 04/2019 08/2022
Hancock Whitney Investment Services, Inc. Houston TX 04/2019 Present
Cetera Investment Services Llc Saint Cloud MN 08/2022 Present
Cetera Investment Advisers Llc Houston TX 09/2025 Present
  • 02/2014 → 04/2019
    Bbva Securities Inc.
    Houston, TX
  • 02/2002 → 04/2019
    Compass Bank
    Birmingham, AL
  • 06/2009 → 04/2019
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 04/2019 → 08/2022
    Hancock Whitney Bank
    Houston, TX
  • 04/2019 → Present
    Hancock Whitney Investment Services, Inc.
    Houston, TX
  • 08/2022 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 09/2025 → Present
    Cetera Investment Advisers Llc
    Houston, TX
Other Businesses

PRIVATE BANKER AT HANCOCK WHITNEY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-14
S63 Uniform Securities Agent State Law Examination 2015-08-21
  • S65 Uniform Investment Adviser Law Examination
    2025-09-14
  • S63 Uniform Securities Agent State Law Examination
    2015-08-21
Other Names
  • Sallie Darlene Wade
  • Sissy Caruthers
  • Sallie Darlene Caruthers

View on SEC IAPD

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