PT
Panetta Thomas
CETERA INVESTMENT SERVICES LLC
Denham Springs, LA 70726
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CRD#: 2734871
PT
Professional summary
Panetta Thomas is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Denham Springs, Louisiana.
Panetta is registered as a RR (Registered Representative) and started their career in finance in 1996. Panetta has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Panetta Thomas'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
August 10, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 525 Florida Avenue Sw, Denham Springs, LA 70726BD
CRD#: 15340
Denham Springs, LA
Past
October 8, 2010 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
BD
CRD#: 40637
DENHAM SPRINGS, LA
Past
January 4, 1999 - February 23, 2010
HANCOCK WHITNEY INVESTMENT SERVICES INC.
BD
CRD#: 40637
BATON ROUGE, LA
Past
May 7, 1996 - July 10, 1998
UNITED VARIABLE SERVICES, INC.
BD
CRD#: 38181
WEST CHESTER, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/10/2022)
RR
Florida(8/11/2022)
RR
Louisiana(8/10/2022)
RR
Mississippi(8/10/2022)
RR
Texas(8/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Denham Springs, LA 70726TRUST BUT VERIFY
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