Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Breaux, is a financial advisor with over 35 years of experience in the industry. He has held a Series 7, 8, 9, 24, 63 and 65 license and worked with several firms including UBS Financial Services Inc., Morgan Stanley, and Raymond James Financial Services Inc. Currently, Thomas is a Registered Representative and Investment Adviser Representative with Cetera Investment Advisers LLC. He provides financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
LA
06/29/2023 - Present
Cetera Investment Advisers LLC (BATON ROUGE LA)
LA
01/18/2018 - 06/13/2022
AVANTAX INVESTMENT SERVICES, INC. (Baton Rouge LA)
LA
01/14/2011 - 01/22/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (BATON ROUGE LA)
LA
06/01/2009 - 01/21/2011
MORGAN STANLEY SMITH BARNEY (BATON ROUGE LA)
LA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BATON ROUGE LA)
LA
04/21/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BATON ROUGE LA)
NJ
03/10/1994 - 05/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/10/1987 - 03/02/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
08/26/1987 - 08/29/1987
BRENNAN ROSS SECURITIES, INC.
NA
04/29/1987 - 08/20/1987
THE STUART-JAMES COMPANY, INC.
IA
Issued 09/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/12/2012
Series 24 - General Securities Principal Examination
BC
Issued 07/18/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/12/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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