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DONALD RICHARD ABAUNZA JR
DONALD RICHARD ABAUNZA
CRD#: 3172450
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1855 MANHATTAN BLVD
HARVEY, LA 70058
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1855 MANHATTAN BLVD.
HARVEY, LA 70058
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2022 (10 years)2 FIRMS2022 - Present (2 years)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)2004 - 2007 (2 years)BHIBERNIA INVESTMENTS, L.L.C. (CRD# 17526)2002 - 2004 (2 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)1999 - 2002 (2 years)IAAMSOUTH INVESTMENT MANAGEMENT ... (CRD# 111757)2005 - 2007 (1 year)
Disclosure(s)
View By:
11/4/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Florida 8/11/2022

B
Mississippi 8/10/2022

B
Georgia 10/13/2022

B
New York 4/4/2023

B
Idaho 8/10/2022

B
Pennsylvania 8/10/2022

B
Illinois 8/10/2022

B
South Carolina 8/10/2022

B
Louisiana 8/10/2022

B
Texas 8/10/2022

IA
Louisiana 8/10/2022

IA
Texas 8/10/2022

B
Maryland 1/18/2024

B
Virginia 8/10/2022

B
Minnesota 8/30/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1855 MANHATTAN BLVD, HARVEY, LA 70058
Registered with this firm since 8/10/2022

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1855 MANHATTAN BLVD., HARVEY, LA 70058
Registered with this firm since 8/10/2022

Previous Registration(s)
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IA
02/08/2012 - 08/10/2022 HANCOCK WHITNEY INVESTMENT SERVICES INC. (CRD#:40637) HARVEY, LA
B
02/08/2012 - 08/10/2022 HANCOCK WHITNEY INVESTMENT SERVICES INC. (CRD#:40637) HARVEY, LA
IA
09/28/2009 - 02/13/2012 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) KENNER, LA
B
09/28/2009 - 02/13/2012 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) KENNER, LA
IA
02/13/2007 - 09/28/2009 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) METAIRIE, LA
B
02/22/2007 - 09/28/2009 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) METAIRIE, LA
B
03/26/2004 - 02/14/2007 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) HARAHAN, LA
IA
05/24/2005 - 02/13/2007 AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC (CRD#:111757) NEW ORLEANS, LA
B
02/28/2002 - 03/11/2004 HIBERNIA INVESTMENTS, L.L.C. (CRD#:17526) NEW ORLEANS, LA
B
07/23/1999 - 02/22/2002 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.