Rebecca B. Purvis

DOUCET ASSET MANAGEMENT

MAYLENE, AL

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CRD#: 5361951

Professional summary

Rebecca Barnhart Purvis, who also goes by Rebecca Barnhart Hayes, is a registered financial advisor currently at DOUCET ASSET MANAGEMENT, LLC located in Maylene, Alabama and INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.

Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Rebecca has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rebecca Barnhart Hayes

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.

Director of Operations for Doucet Asset Management, RIA Firm. Start Date 6/2007. Duties include Back Office Administration, Office Location: 601 Poydras Street, Ste 2655, New Orleans, LA 70130. Investment Related. Spends Approx 160 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Barnhart Purvis'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

March 26, 2012 - Present

DOUCET ASSET MANAGEMENT, LLC

RIA

CRD#: 141546

MAYLENE, AL

Current

November 13, 2007 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219

CRD#: 20291

Dallas, TX

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".

DOUCET ASSET MANAGEMENT, LLC

CRD#: 141546 / SEC#: 801-132665

RIA

Registered Investment Advisory firm - (5/1/2025 Approved)

Alabama

Registered Investment Advisory firm - (5/2/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (5/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(12/18/2007)

IAR

Alabama
(4/13/2012)

IAR

Louisiana
(7/10/2012)

IAR

Texas
(3/26/2012)

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: 12/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DOUCET ASSET MANAGEMENT, LLC

CRD#: 141546 / SEC#: 801-132665

RIA

Registered Investment Advisory firm - (5/1/2025 Approved)

Alabama

Registered Investment Advisory firm - (5/2/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (5/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2025 Terminated)

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Contact information

Main Address

601 Poydras Street, Suite 2655, New Orleans, LA 70130

Mailing Address

P.o. Box 30569, New Orleans, LA 70190-0569

Phone number

(205) 414-9788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC BROCHURE-MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 132,591,731

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.

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Firm Stability Insights

Rebecca B. Purvis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Barnhart Purvis's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL SECURITIES CORPORATION

Primary Firm SEC Registration

DOUCET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2007

Series 24

Date: 10/10/2011

FINRA

Current Firm

DOUCET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOUCET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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