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EB

Earl J. Breaux

CETERA INVESTMENT ADVISERS LLC
BATON ROUGE, LA 70809
Some features on this profile are disabled
CRD#: 2290572
EB

Professional summary

Earl J Breaux, who also goes by Earl Joseph Breaux Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baton Rouge, Louisiana and CETERA WEALTH SERVICES, LLC located in Baton Rouge, Louisiana.

Earl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Earl has worked at 5 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Earl Joseph Breaux 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.
INSURANCE; Investment Related; Baton Rouge, LA; Insurance; Agent; Start: 01/2010; 60 hours per month with most hours occurring during trading hours; Sales and service of traditional life, annuity, health, disability, long-term care insurance products. >> NOTARY; Non-Investment Related; Baton Rouge, LA; Other; Notary; Start Date 01/1989; 1 hour, more or less, per month with no hours per month during trading hours; Notarize forms for customers occasionally at no cost to the client(s).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Earl J Breaux'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9026 Jefferson Highway Suite 103, Baton Rouge, LA 70809
RIA
CRD#: 105644
BATON ROUGE, LA
Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
Baton Rouge, LA
Past

July 3, 2019 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
Baton Rouge, LA
Past

July 1, 2019 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
Baton Rouge, LA
Past

December 11, 2006 - July 3, 2019

OSAIC FS, INC.

RIA
CRD#: 3870
BATON ROUGE, LA
Past

October 1, 1997 - July 3, 2019

OSAIC FS, INC.

BD
CRD#: 3870
BATON ROUGE, LA
Past

April 26, 1993 - 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
Louisiana
(2/20/2025)
IAR
Louisiana
(2/20/2025)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/1993
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
11/18/2022
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#: 105644Baton Rouge, LA 70809

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