MB
Michael R. Broussard
CETERA INVESTMENT ADVISERS LLC
BEAUMONT, TX
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CRD#: 7985835
MB
Professional summary
Michael Ray Broussard, who also goes by Michael R Broussard, Michael Broussard, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beaumont, Texas and CETERA WEALTH SERVICES, LLC located in Beaumont, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Michael has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael R Broussard | Michael Broussard
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)SPLINTER INVESTING COMPANY LLC POSITION: Manager NATURE: Splinter owns the building in which my accounting practice (Pollans & Cohen, P.C.) resides. Splinter was originally created as a general partner of Michelangelo Investments, Ltd. which held the non-participating owners of Pour Brothers Brewery LLC, however, Pour Brothers permanently closed January 28, 2023. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/25/2018 ADDRESS: 3450 Eastex Fwy #1, Beaumont TX 77703, United States DESCRIPTION: Collect rent, maintain property, hire professionals to perform repairs. 2)POUR BROTHERS BREWERY LLC POSITION: Member NATURE: Previously a beer brewery in Beaumont, TX, however, this entity was closed on January 28, 2023 and there is no longer any activity. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/14/2016 ADDRESS: 3450 Eastex Fwy #1, Beaumont TX 77703, United States DESCRIPTION: No duties as this entity is inactive. POSITION: Shareholder NATURE: CPA firm providing bookkeeping; federal and state tax returns for businesses, individuals, and nonprofits; audits and reviews; payroll reports for federal and state; information reporting Forms 1099, general business consulting INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/02/2003 ADDRESS: 3450 Eastex Fwy #1, Beaumont TX 77703, United States DESCRIPTION: Tax Compliance: preparation of state and federal tax returns Bookkeeping: maintaining books and records for client businesses Information reporting: file required information returns such as 940,941, 1099 series, BOI, Texas Franchise Forecasting and consulting: Assist clients in understanding current and projected financial position and and assisting client in their understanding of the business Oversee staff: Training of staff, review work produced by staff, interview/hire new candidates 3) GUADALUPE PEAK WEALTH MANAGEMENT LLC POSITION: managing member NATURE: This entity has not conducted any activity yet as it was created as the entity we will be using to run our Avantax business under once licensed. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/09/2024 ADDRESS: 3450 Eastex Fwy #1, Beaumont TX 77703, United States DESCRIPTION: Currently inactive until we pass required tests 4)MICHELANGELO INVESTMENTS, LTD. POSITION: Partner NATURE: This partnership was created to hold the ownership of the non-participating owners of Pour Brothers Brewery LLC, however, Pour Brothers Brewery LLC closed in January 2023 and this entity has had no activity. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/26/2018 ADDRESS: 3450 Eastex Fwy #1, Beaumont TX 77703, United States DESCRIPTION: This entity was just holding the ownership of the non-participating owners of Pour Brothers Brewery, however there is no activity and I have no duties with Pour Brothers having closed. 5) "Pollans & Cohen, P.C.; Shareholder; CPA firm providing bookkeeping; federal and state tax returns for businesses, individuals, and nonprofits; audits and reviews; payroll reports for federal and state; information reporting Forms 1099, general business consulting; NIR; 130; 01/02/2003; 3450 Eastex Fwy #1 Beaumont TX 77703; Tax Compliance: preparation of state and federal tax returns Bookkeeping: maintaining books and records for client businesses Information reporting: file required information returns such as 940,941, 1099 series, BOI, Texas Franchise Forecasting and consulting: Assist clients in understanding current and projected financial position and and assisting client in their understanding of the business Oversee staff: Training of staff, review work produced by staff, interview/hire new candidates
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ray Broussard'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
RIA
CRD#: 105644
BEAUMONT, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3450 Eastex Fwy #1, Beaumont, TX 77703BD
CRD#: 13572
Beaumont, TX
Past
February 11, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Beaumont, TX
Past
November 4, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Beaumont, 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".
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
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2024
General Securities Representative ExaminationGeneral 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
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.
