Thomas Anthony Breaux

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 01/2018
  Raymond James Financial Services
  Baton Rouge, LA
• 01/2018 → 06/2022
  Avantax Investment Services, Inc.
  Baton Rouge, LA
• 01/2018 → 06/2022
  Avantax Advisory Services
  Baton Rouge, LA
• 01/2018 → 06/2022
  Avantax Insurance Agency, Llc
  Baton Rouge, LA
• 10/2011 → 07/2018
  Capital Wealth Managers Llc
  Baton Rouge, LA
• 07/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2011 → Present
  T.A. Breaux Investments Llc
  Prairieville, LA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-01-18 → 2022-06-13
  Avantax Advisory Services
  Baton Rouge, LA
  Baton Rouge, LA
• 2011-01-21 → 2018-01-22
  Raymond James Financial Services Advisors, Inc
  Baton Rouge, LA
  Baton Rouge, LA
  Baton Rouge, LA
  Baton Rouge, LA
  Baton Rouge, LA
• 2009-06-01 → 2011-01-21
  Morgan Stanley
  Baton Rouge, LA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Baton Rouge, LA
• 2006-05-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  Baton Rouge, LA
• 2005-01-06 → 2006-05-16
  Ubs Financial Services Inc.
  Baton Rouge, LA

Other Businesses

1. NAME OF OTHER BUSINESS: T.A. BREAUX INVESTMENTS LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TO RUN MY INDEPENDENT SECURITIES BUSINESS, MANAGE MY CLIENT PORTFOLIOS START DATE: 1/2011 POSITION/TITLE/RELATIONSHIP: PRESIDENT & CEO APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: RUNNING MY INDEPENDENT SECURITIES BUSINESS;

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-15
• S63 Uniform Securities Agent State Law Examination
  1987-09-28

Other Names

• Tom Anthony Breaux
• Tom Breaux
• Tommy Breaux
• Thomas Anthony Breaux
• Thomas A Breaux
• Thomas A Breaux Sr.
• Thomas Anthony Breaux