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AB

Alan J. Bender

CETERA INVESTMENT ADVISERS
NEW ORLEANS, LA 70123
CRD#: 1859814
Some features on this profile are disabled
AB
Alan Joseph Bender JrCETERA INVESTMENT ADVISERS

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Joseph Bender Jr'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 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 70123
RIA
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 70123
BD
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
IAR
Series 65
Date: 8/15/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/20/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/5/1988
Investment Company Products/Variable Contracts Representative Examination
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)

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

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#: 105644New Orleans, LA 70123

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