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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-07-30 |
| LA | RA | APPROVED | 2024-07-12 |
Branch Locations
3445 N. Causeway Blvd. Suite 1000, Metairie, LA 70002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life Insurance Company | St. Paul | MN | 06/1982 | 08/2023 |
| Securian Financial Services, Inc. | St. Paul | MN | 01/1987 | 08/2023 |
| Compass Capital Management | Metairie | LA | 06/1982 | Present |
| Cetera Wealth Services, Llc | Metairie | LA | 08/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2024 | Present |
COMPASS CAPITAL MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, INSURANCE, SECURITIES, ADVISORY START DATE: 1/1/1999, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL/AGENT APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; FORE KIDS FOUNDATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1997 ADDRESS: , Miterie LA , United States DESCRIPTION: Member
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-10-20 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-17 |
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