AB
Alan J. Bender
CETERA INVESTMENT ADVISERS LLC
NEW ORLEANS, LA 70123
Some features on this profile are disabled
CRD#: 1859814
AB
Professional summary
Alan Joseph Bender Jr, who also goes by Alan Joseph Bender Jr, Joey Bender, Alan J Bender Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Orleans, Louisiana and CETERA WEALTH SERVICES, LLC located in New Iberia, Louisiana.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Alan has worked at 9 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Joseph Bender Jr | Joey Bender | Alan J Bender Jr
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) INDEPENDENT INSURANCE AGENT, POSITION: Agent NATURE: I will be referring any life insurance sales to CoSource Financial. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/30/1988 ADDRESS: 152 West Main Street, New Iberia LA 70560, United States DESCRIPTION: I do not intend on writing any new policies. I will refer any opportunities to CoSource Financial 2) COSOURCE FINANCIAL GROUP, LLC POSITION: Investment Representative NATURE: CoSource Financial Group is a full service firm with representatives of Avantax. CoSource specializes in the maintenance of qualified retirement plans. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/20/2022 ADDRESS: 152 West Main Street, New Iberia LA 70560, United States DESCRIPTION: My role will be to work with the advisors of CoSource on the following: Qualified Plans where we will work with the plan sponsor to help design an investment menu, educate the employees of the company and provide support to the retirement plan committee; For Individual investment clients, we will work on financial plans using Avantax approved software to help client prepare and invest for retirement. 3)RETIREMENT STRATEGIES GROUP, LLC POSITION: Partner - Vice President NATURE: Retirement Strategies Group, LLC acts as a third party administrator for qualified retirement plans. We prepare plan documents, compliance testing and Form 5500 preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1999 ADDRESS: 800 West Commerce Road, Suite 105, New Orleans LA 70123, United States DESCRIPTION: My duties include sales and service, operations and supervisor responsibilities. 4) RETIREMENT STRATEGIES GROUP, LLC POSITION: Partner - Vice President NATURE: Retirement Strategies Group, LLC acts as a third party administrator for qualified retirement plans. We prepare plan documents, compliance testing and Form 5500 preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1999 ADDRESS: 800 West Commerce Road, Suite 105, New Orleans LA 70123, United States DESCRIPTION: My duties include sales and service of TPA services for qualified retirement plans. I also assist in the training of staff and reviewing of TPA compliance work.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Joseph Bender Jr'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 880 W. Commerce Road Suite 404, New Orleans, LA 70123Office #3: 152 West Main Street, New Iberia, LA 70560Office #4: 800 West Commerce Road Suite 105, New Orleans, LA 70123RIA
CRD#: 105644
NEW ORLEANS, LA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 152 West Main Street, New Iberia, LA 70560Office #2: 880 W. Commerce Road Suite 404, New Orleans, LA 70123Office #3: 800 West Commerce Road Suite 105, New Orleans, LA 70123BD
CRD#: 13572
NEW IBERIA, LA
Past
February 4, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
New Iberia, LA
Past
February 4, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
NEW IBERIA, LA
Past
August 17, 2016 - February 13, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Mandeville, LA
Past
March 28, 2005 - September 3, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
NEW ORLEANS, LA
Past
December 16, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
Mandeville, LA
Past
December 15, 2003 - February 13, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mandeville, LA
Past
June 10, 1999 - December 15, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
August 3, 1993 - June 9, 1997
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
August 30, 1988 - December 31, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Louisiana(9/5/2025)
IAR
Louisiana(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644New Orleans, LA 70123TRUST BUT VERIFY
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