SH
Stephanie M. Higginbotham
CETERA INVESTMENT ADVISERS LLC
LAFAYETTE, LA 70508
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CRD#: 5144110
SH
Professional summary
Stephanie Mouton Higginbotham is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lafayette, Louisiana and CETERA WEALTH SERVICES, LLC located in Lafayette, Louisiana.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephanie has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
1) LA MARSH, INC POSITION: SECRETARY/TREASURER NATURE: HUNTNG CLUB OPERATION INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/10/1992 ADDRESS: Lafayette LA 70503, United States DESCRIPTION: INACTIVE. PREPARE TAX RETURN. 2) LIBERTY LANE,LLC POSITION: MEMBER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/18/2014 ADDRESS: , Lafayette LA , United States DESCRIPTION: landlord 3) DARNALL SIKES WEALTH PARTNERS LLC (formerly DSF WEALTH MANAGEMENT LLC) POSITION: MEMBER AND FINANCIAL ADVISOR NATURE: Entity used to market wealth management services INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/09/2018 ADDRESS: 2000 KALISTE SALOOM RD, SUITE 300, LAFAYETTE LA 70508, United States DESCRIPTION: Normal duties associated with a financial advisor 4) DARNALL, SIKES, & FREDERICK(A CORPORATION OF CERTIFIED PUBLIC ACCOUNTANTS) POSITION: PARTNER - CPA NATURE: I am no longer a shareholder of the firm but still employed and my position is now Partner. INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 12/01/1982 ADDRESS: 2000 KALISTE SALOOM RD, SUITE 300, Lafayette LA 70508, United States DESCRIPTION: Assist in the management of a tax and consulting practice for the firm. 5) Power of Attorney (Mother); POA; POA; NIR; 0; 08/26/2014;
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Mouton Higginbotham'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2000 Kaliste Saloom Rd Ste 300, Lafayette, LA 70508Office #2: 91 Settlers Trace Blvd Building 1, Lafayette, LA 70508RIA
CRD#: 105644
LAFAYETTE, LA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2000 Kaliste Saloom Rd Ste 300, Lafayette, LA 70508BD
CRD#: 13572
LAFAYETTE, LA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LAFAYETTE, LA, USA,, LA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAFAYETTE, LA
Past
September 1, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
LAFAYETTE, LA
Past
June 29, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
LAFAYETTE, 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".
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
California(9/5/2025)
RR
Louisiana(9/5/2025)
IAR
Louisiana(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law 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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