Andre P. Caubarreaux

ANDRE CAUBARREAUX

Marksville, LA

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CRD#: 1715215

Professional summary

Andre Paul Caubarreaux is a registered financial advisor currently at ANDRE CAUBARREAUX located in Marksville, Louisiana.

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Andre has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)START DATE 1999 I DEVOTE 60 HRS/MO (MOSTLY DURING TRADING) AS REGISTERED INVESTMENT ADVISOR FOR ANDRE CAUBARREAUX REGISTERED INVESTMENT ADVISORY SERVICE; THIS IS AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE TACTICAL ASSET ALLOCATION, ASSET MANAGEMENT SERVICES AND TO FURNISH INVESTMENT ADVICE. (2) START DATE 2007 I DEVOTE 5 HRS/MO (NONE DURING TRADING) AS OWNER OF ANDRE CAUBARREAUX BUSINESS CONSULTING; THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE BUSINESS CONSULTING FOR SMALL BUSINESS I HELP NEGOTIATE FINANCING, LEASES, INSURANCE CLAIMS, ETC. (3) START DATE 1999 I'M THE PROPRIETOR OF CAUBARREAUX STABLES; I DEVOTE 20 HRS/MO-NONE DURING TRADING TO THIS NON-INVESTMENT RELATED BUSINESS, MY DUTIES INCLUDE: BREEDING AND RACING THOROUGHBRED HORSES.(4) START DATE 08/1987 I DEVOTE 160 HRS/MO (MOSTLY DURING TRADING) AS OWNER OF TITAN VALUE EQUITIES GROUP. THIS AN INVESTMENT RELATED ACTIVITY AND SERVES AS THE DBA FOR MY SECURITIES BUSINESS THROUGH MY B/D. BUSINESS ADDRESS FOR ALL OF ABOVE IS THE SAME AS THE BRANCH ADDRESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Paul Caubarreaux's 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

July 21, 2010 - Present

ANDRE CAUBARREAUX

RIA

CRD#: 117139

Marksville, LA

Past

June 21, 2007 - December 31, 2023

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

MARKSVILLE, LA

Past

March 31, 1999 - June 21, 2007

MUTUAL SERVICE CORPORATION

CRD#: 4806

MARKSVILLE, LA

Past

December 24, 1991 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

March 11, 1988 - December 31, 1991

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

August 20, 1987 - March 4, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(7/21/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1988

General Securities Principal Examination

Current Firm

ANDRE CAUBARREAUX

ANDRE CAUBARREAUX | CAUBARREAUX, ANDRE PAUL

CRD#: 117139 / SEC#:

Louisiana

Registered Investment Advisory firm - (10/26/1999 Approved)

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Contact information

Main Address

Mansura, LA

Mailing Address

135 Cocoville Road; Suite H, Mansura, LA 71350

Phone number

(318) 240-4521

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 15,634,213

Red Flags

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

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Andre P. Caubarreaux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Paul Caubarreaux's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

SHERWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/30/2008

Series 63

Date: 11/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

Series 24

Date: 5/2/1988

Current Firm

ANDRE CAUBARREAUX

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANDRE CAUBARREAUX

TRUST BUT VERIFY

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