NF
Neil J. Fontenot
CETERA INVESTMENT ADVISERS LLC
LAFAYETTE, LA 70508
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CRD#: 2149902
NF
Professional summary
Neil Jonathan Fontenot is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lafayette, Louisiana and CETERA WEALTH SERVICES, LLC located in Lafayette, Louisiana.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Neil has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
(dba) HELM FINANCIAL; Investment Related; 2511 Verot School Road, Lafayette, LA 70508; Insurance; Producer; 1) Start Date 09/1989; 25 hours per month; Insurance product sales and service; 2) Start Date 01/2015; 1 hour per month; Servicing Index Annuities prior to firm mandate. >> HELM FINANCIAL GROUP; Investment Related; 2511 Verot School Road, Lafayette, LA 70508; Other; 40% Owner/President; Start Date 01/1999; 2 hours per month; Investment interest only. Meet with partners once a month to discuss business; I am not involved with daily operation. This a complete payroll processing business. >> LIFESOURCE FINANCIAL PARTNERS; Investment Related; 2511 Verot School Road, Lafayette, LA 70508; Investments; Member; Start Date 01/2017; No hours per month; No duties, a member of the group for website presence only. >> HELM REAL ESTATE; Non-Investment Related; 2511 Verot School Road, Lafayette LA 70508; Real Estate Holding Company; Member; Start Date 06/2005; 1 hour per month; Co-owner of office building. >> OAK PLACE SUBDIVISION; Non-Investment Related; 2511 Verot School Road, Lafayette LA 70508; HOA; Secretary; Start Date 06/2018; Help with any issues that occur in our subdivision, anything from grass cutting, landscaping to sprinkler problems, beautification of the subdivision.
CRS (Client Relationship Summary) - RIA
Click below to view Neil Jonathan Fontenot'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1720 Kaliste Saloom Suite D-9, Lafayette, LA 70508RIA
CRD#: 105644
LAFAYETTE, LA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2511 Verot School Road, Lafayette, LA 70508BD
CRD#: 13572
Lafayette, LA
Past
May 28, 2008 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Lafayette, LA
Past
February 7, 2007 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Lafayette, LA
Past
December 17, 2004 - February 13, 2007
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
LAFAYETTE, LA
Past
September 27, 2002 - December 9, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 1, 1997 - September 11, 2002
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
June 18, 1991 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
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
Hawaii(2/20/2025)
RR
Louisiana(2/20/2025)
IAR
Louisiana(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(4/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General 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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lafayette, LA 70508TRUST BUT VERIFY
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