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Brett J. Mccullough

Some features on this profile are disabled
CRD#: 5421058
BM

Professional summary

Brett James Mccullough was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brett is a previously registered financial advisor and started their career in finance in 2008. Prior to being barred, Brett had worked at 4 firms, which includes HANCOCK WHITNEY INVESTMENT SERVICES INC., CETERA ADVISORS LLC, CAPITAL ONE INVESTMENT SERVICES LLC, CAPITAL ONE INVESTMENTS LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett J. Mccullough

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2013 - August 11, 2015

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
BATON ROUGE, LA
Past

January 8, 2013 - August 11, 2015

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
BATON ROUGE, LA
Past

January 12, 2012 - December 31, 2012

CETERA ADVISORS LLC

RIA
CRD#: 10299
BATON ROUGE, LA
Past

June 1, 2011 - December 31, 2012

CETERA ADVISORS LLC

BD
CRD#: 10299
BATON ROUGE, LA
Past

May 31, 2008 - June 15, 2011

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
BATON ROUGE, LA
Past

January 18, 2008 - May 31, 2008

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
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".
HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/17/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637 / SEC#: 801-68420, 8-49106

RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Mailing Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Phone number
+1 (800) 385-4188
Established
Mississippi since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
45

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HWIS ADV PART 2A BROCHURE - MARCH 30, 2025 (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
HANCOCK WHITNEY CORPORATIONSHAREHOLDER
BARTLETT, DONNABROKER DEALER - CHIEF COMPLIANCE OFFICER1813672
LOUPE, PATRICIA KIVESASSISTANT SECRETARY6796549
MILTON, MILES STUARTPRESIDENT/CEO AND DIRECTOR1518016
NICHOALDS, STUART TODDAML/BSA OFFICER6607342
RIGNEY, JOHN MARIO JRRIA-CCO/VP/SECRETARY & DIRECTOR2032572
SCHEXNAYDER, ANITA GREGOIREVICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR6453588

Regulatory assets under management

Total Number of Accounts1,031
AUM (Assets Under Management)$ 210,606,113

Disclosures

Regulatory Event2
Arbitration2

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

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

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