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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_RES 2024-07-30
LA RA APPROVED 2024-07-12
  • TX RA
    APPROVED_RES
    Since 2024-07-30
  • LA RA
    APPROVED
    Since 2024-07-12

Branch Locations

3445 N. Causeway Blvd. Suite 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
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
  • 06/1982 → 08/2023
    Minnesota Life Insurance Company
    St. Paul, MN
  • 01/1987 → 08/2023
    Securian Financial Services, Inc.
    St. Paul, MN
  • 06/1982 → Present
    Compass Capital Management
    Metairie, LA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Metairie, LA
  • 07/2024 → Present
    Schaumburg, IL
Previous Registrations
  • 2002-06-18 → 2010-08-24
    Securian Financial Services, Inc.
    Metairie, LA
    Metairie, LA
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-10-20
S65 Uniform Investment Adviser Law Examination 1998-03-17
  • S63 Uniform Securities Agent State Law Examination
    1998-10-20
  • S65 Uniform Investment Adviser Law Examination
    1998-03-17
Other Names
  • Cj Bruno

View on SEC IAPD

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