TG
Todd S. Gautreaux
HARGER AND COMPANY
Baton Rouge, LA 70809
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CRD#: 5089359
TG
Professional summary
Todd Sherman Gautreaux is a registered financial advisor currently at HARGER AND COMPANY, INC. located in Baton Rouge, Louisiana.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Todd has worked at 9 firms and has passed the Series 65, Series 63, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Sherman Gautreaux's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd Sherman Gautreaux'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 30, 2020 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809Office #2: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Current
September 1, 2020 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809Office #2: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Past
May 13, 2020 - August 27, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
BATON ROUGE, LA
Past
May 13, 2020 - August 27, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
BATON ROUGE, LA
Past
June 1, 2015 - May 13, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ALEXANDRIA, LA
Past
June 1, 2015 - May 13, 2020
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ALEXANDRIA, LA
Past
January 28, 2015 - June 5, 2015
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - June 5, 2015
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
Marrero, LA
Past
February 7, 2012 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
NEW ORLEANS, LA
Past
May 31, 2008 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
NEW ORLEANS, LA
Past
June 5, 2006 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
ALEXANDRIA, 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".
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Alabama(3/16/2021)
RR
Arkansas(2/7/2025)
RR
Colorado(10/2/2020)
RR
Idaho(9/1/2020)
RR
Kentucky(10/19/2020)
IAR
Louisiana(8/30/2020)
RR
Louisiana(9/1/2020)
RR
Mississippi(9/1/2020)
RR
New Jersey(9/9/2020)
RR
Texas(9/29/2020)
RR
Virginia(2/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809
Mailing Address
8048 One Calais Ave Suite D, Baton Rouge, LA 70809
Phone number
(225) 767-7228
Established
Louisiana since 01/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (2 States and Territories)
FINRA licenses (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 427 |
| AUM (Assets Under Management) | $ 123,253,006 |
Disclosures
| Regulatory Event | 1 |
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
HARGER AND COMPANY, INC.
CRD#: 10385Baton Rouge, LA 70809TRUST BUT VERIFY
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