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TB

Thomas A. Breaux

CETERA INVESTMENT ADVISERS LLC
BATON ROUGE, LA 70810
Some features on this profile are disabled
CRD#: 1653781
TB

Professional summary

Thomas Anthony Breaux SR, who also goes by Thomas A Breaux Sr, Tom Anthony Breaux Sr, Tom Breaux Sr, Tommy Breaux Sr, Thomas A Breaux Sr., Thomas Anthony Breaux, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baton Rouge, Louisiana and CETERA WEALTH SERVICES, LLC located in Baton Rouge, Louisiana.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

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

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Breaux SR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9191 Siegen Ln Bldg 6 Ste B, Baton Rouge, LA 70810
RIA
CRD#: 105644
BATON ROUGE, LA
Current

July 5, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4737 Millwood Dr, Baton Rouge, LA 70817
BD
CRD#: 13572
Baton Rouge, LA
Past

July 5, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
Prairieville, LA
Past

January 18, 2018 - June 13, 2022

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Baton Rouge, LA
Past

January 18, 2018 - June 13, 2022

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Baton Rouge, LA
Past

January 21, 2011 - January 22, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
BATON ROUGE, LA
Past

January 14, 2011 - January 22, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BATON ROUGE, LA
Past

June 1, 2009 - January 21, 2011

MORGAN STANLEY

RIA
CRD#: 149777
BATON ROUGE, LA
Past

June 1, 2009 - January 21, 2011

MORGAN STANLEY

BD
CRD#: 149777
BATON ROUGE, LA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BATON ROUGE, LA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BATON ROUGE, LA
Past

May 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BATON ROUGE, LA
Past

April 21, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BATON ROUGE, LA
Past

January 6, 2005 - May 16, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BATON ROUGE, LA
Past

March 10, 1994 - May 16, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 10, 1987 - March 2, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 26, 1987 - August 29, 1987

BRENNAN ROSS SECURITIES, INC.

BD
CRD#: 18363
Past

April 29, 1987 - August 20, 1987

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/29/2024)
RR
Georgia
(1/5/2024)
RR
Kansas
(7/5/2022)
RR
Louisiana
(7/5/2022)
IAR
Louisiana
(6/29/2023)
RR
Mississippi
(3/19/2025)
RR
New Jersey
(1/7/2025)
RR
Texas
(7/5/2022)
IAR
Texas
(6/29/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/18/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Baton Rouge, LA 70810

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