Constance C. Bolen

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77098

Some features on this profile are disabled

CRD#: 4991084

Professional summary

Constance Chilvers Bolen, who also goes by Connie Chilvers Bolen, Connie Reed Chilvers, Constance R Chilvers, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA INVESTMENT SERVICES LLC located in Houston, Texas.

Constance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Constance has worked at 6 firms and has passed the Series 66, SIE, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Connie Chilvers Bolen | Connie Reed Chilvers | Constance R Chilvers

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.

PRIVATE BANKER FOR HANCOCK WHITNEY; PROVIDE BANKING SERVICES AND WORK WITH FINANCIAL ADVISORS AND TRUST OFFICERS; BOARD MEMBER AND CO-CHAIR OF THE VOLUNTEER AND MISSION CAPACITY COMMITTEE OF THE AMERICAN RED CROSS - LOUISIANA CAPITAL AREA CHAPTER; 2-3 HRS/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Constance Chilvers Bolen'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

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Kirby Drive Suite 110, Houston, TX 77098Office #2: 445 North Boulevard, Baton Rouge, LA 70802

RIA

CRD#: 105644

HOUSTON, TX

Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Kirby Drive Suite 1100, Houston, TX 77098Office #2: 445 North Blvd., Baton Rouge, LA 70802

CRD#: 15340

Houston, TX

Past

August 14, 2019 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

BATON ROUGE, LA

Past

June 28, 2019 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

Past

November 17, 2010 - November 18, 2011

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

BATON ROUGE, LA

Past

November 17, 2010 - November 18, 2011

INVEST FINANCIAL CORPORATION

CRD#: 12984

BATON ROUGE, LA

Past

September 13, 2006 - November 24, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BATON ROUGE, LA

Past

September 13, 2006 - November 24, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BATON ROUGE, LA

Past

December 2, 2005 - July 3, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BATON ROUGE, LA

Past

November 1, 2005 - July 3, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BATON ROUGE, LA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Louisiana
(8/10/2022)

IAR

Louisiana
(8/10/2022)

Mississippi
(8/17/2022)

Texas
(10/16/2025)

IAR

Texas
(10/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/28/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 5/23/2019

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 10/31/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 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	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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Constance C. Bolen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Constance Chilvers Bolen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2019

SIE

Date: 6/28/2019

Series 7TO

Date: 5/23/2019

Series 7

Date: 10/31/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors