Christopher L. Doucet

DOUCET ASSET MANAGEMENT

New Orleans, LA 70130

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CRD#: 1779104

Professional summary

Christopher Leonce Doucet, who also goes by Chris Leonce Doucet, is a registered financial advisor currently at DOUCET ASSET MANAGEMENT, LLC located in New Orleans, Louisiana and INSTITUTIONAL SECURITIES CORPORATION located in New Orleans, Louisiana.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Christopher has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Leonce Doucet

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) CEO of Doucet Asset Management, LLC, RIA Firm. start date- 9/2006, Duties include managing client portfolios and decision making on firm operational issues. Office location: 601 Poydras Street, Ste 2655, New Orleans, LA 70130, investment related. Spends approx. 160 hours per month during trading hours. 2) "Speaker of the Street" fiction book, not investment related, PO Box 30569, New Orleans, LA 70190, Nature of other business: Proceeds from books sales, Position: Author, Start date: 11/1/2021, 4 hours a month devoted to other business, none during business hours, Duties: Writer, editor, web designer, Instagram account

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Leonce Doucet'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

September 15, 2006 - Present

DOUCET ASSET MANAGEMENT, LLC

Office #1: 601 Poydras Street, Suite 2655, New Orleans, LA 70130

RIA

CRD#: 141546

New Orleans, LA

Current

September 14, 2006 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 601 Poydras Street Suite 2655, New Orleans, LA 70130

CRD#: 20291

New Orleans, LA

Past

September 22, 2006 - October 9, 2006

INSTITUTIONAL SECURITIES CORPORATION

RIA

CRD#: 20291

DALLAS, TX

Past

July 11, 2006 - September 20, 2006

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

July 11, 2006 - September 20, 2006

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

BIRMINGHAM, AL

Past

October 7, 2003 - December 20, 2005

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

BIRMINGHAM, AL

Past

August 29, 2003 - September 20, 2006

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

September 19, 2002 - September 24, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW ORLEANS, LA

Past

August 14, 2000 - September 24, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 6, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

February 2, 1995 - November 13, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 1, 1991 - February 13, 1995

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 7, 1990 - March 13, 1991

DORSEY & COMPANY, INC.

CRD#: 1668

NEW ORLEANS, LA

Past

December 22, 1987 - January 3, 1990

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

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".

DOUCET ASSET MANAGEMENT, LLC

CRD#: 141546 / SEC#: 801-132665

RIA

Registered Investment Advisory firm - (5/1/2025 Approved)

Alabama

Registered Investment Advisory firm - (5/2/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (5/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(9/14/2006)

IAR

Alabama
(9/25/2006)

Arizona
(2/6/2024)

Arkansas
(7/6/2023)

California
(9/14/2006)

Colorado
(9/14/2006)

Delaware
(1/12/2007)

District of Columbia
(7/2/2009)

Florida
(9/14/2006)

Georgia
(8/5/2014)

Illinois
(9/14/2006)

Kansas
(9/16/2025)

Kentucky
(9/15/2016)

Louisiana
(9/14/2006)

IAR

Louisiana
(9/25/2006)

Maryland
(7/12/2007)

Massachusetts
(4/18/2013)

Mississippi
(4/5/2013)

Montana
(7/6/2023)

Nevada
(2/6/2024)

New Mexico
(7/11/2014)

New York
(9/14/2006)

Ohio
(9/14/2006)

Oklahoma
(7/6/2023)

Oregon
(4/17/2015)

South Carolina
(7/6/2023)

Tennessee
(2/6/2024)

Texas
(9/14/2006)

IAR

Texas
(9/15/2006)

Virginia
(9/14/2006)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/18/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1988

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: 12/19/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DOUCET ASSET MANAGEMENT, LLC

CRD#: 141546 / SEC#: 801-132665

RIA

Registered Investment Advisory firm - (5/1/2025 Approved)

Alabama

Registered Investment Advisory firm - (5/2/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (5/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2025 Terminated)

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Contact information

Main Address

601 Poydras Street, Suite 2655, New Orleans, LA 70130

Mailing Address

P.o. Box 30569, New Orleans, LA 70190-0569

Phone number

(205) 414-9788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC BROCHURE-MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 132,591,731

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.

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Firm Stability Insights

Christopher L. Doucet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Leonce Doucet's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL SECURITIES CORPORATION

INSTITUTIONAL SECURITIES CORPORATION

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

STERNE, AGEE & LEACH, INC.

STERNE, AGEE & LEACH, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

DORSEY & COMPANY, INC.

TUCKER ANTHONY INCORPORATED

Primary Firm SEC Registration

DOUCET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/1998

Series 63

Date: 1/8/1988

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1987

FINRA

Current Firm

DOUCET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOUCET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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