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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 Cetera Investment Advisers LLC in Baton Rouge, LA. Thomas has over 36 years of experience in the financial industry. Thomas is a registered investment advisor and holds FINRA Series 7, 8, 9, 24, 63, and 65 licenses. Thomas has previously worked at AVANTAX INVESTMENT SERVICES, INC., RAYMOND JAMES FINANCIAL SERVICES, INC., MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., DEAN WITTER REYNOLDS INC., BRENNAN ROSS SECURITIES, INC., and THE STUART-JAMES COMPANY, INC.
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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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 9/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/12/2012
Series 24 - General Securities Principal Examination
BC
Issued 7/18/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/12/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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