• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CLAYTOR LEE BROOKS
CLAY BROOKS, CLAYTON LEE BROOKS, Claytor Lee Brooks
CRD#: 3263706
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 701 POYDRAS STREET
NEW ORLEANS, LA 70139
CETERA INVESTMENT SERVICES LLCCRD#: 15340 701 POYDRAS STREET
NEW ORLEANS, LA 70139
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2024 - Present (<1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2023 - 2024 (<1 year)BMORGAN STANLEY (CRD# 149777)2017 - 2022 (4 years)BPFIC SECURITIES CORPORATION (CRD# 34941)2006 - 2007 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2006 (1 year)BHIBERNIA INVESTMENTS, L.L.C. (CRD# 17526)2000 - 2001 (1 year)IAPFIC ADVISORS, INC. (CRD# 138007)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Louisiana 5/3/2024

B
Mississippi 5/3/2024

IA
Louisiana 5/8/2024

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)
701 POYDRAS STREET, NEW ORLEANS, LA 70139
Registered with this firm since 5/8/2024

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
701 POYDRAS STREET, NEW ORLEANS, LA 70139
Registered with this firm since 5/3/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/08/2023 - 03/28/2024 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NEW ORLEANS, LA
B
12/13/2017 - 04/13/2022 MORGAN STANLEY (CRD#:149777) Shreveport, LA
IA
04/11/2007 - 12/20/2008 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) NEW ORLEANS, LA
B
04/05/2007 - 12/20/2008 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
IA
02/07/2007 - 04/11/2007 PFIC ADVISORS, INC. (CRD#:138007) NEW ORLEANS, LA
B
12/19/2006 - 04/05/2007 PFIC SECURITIES CORPORATION (CRD#:34941) FRANKLIN, TN
B
08/06/2004 - 07/24/2006 MORGAN STANLEY DW INC. (CRD#:7556) NEW ORLEANS, LA
B
07/03/2000 - 09/13/2001 HIBERNIA INVESTMENTS, L.L.C. (CRD#:17526) NEW ORLEANS, LA
For additional information about investment advisers or broker-dealers, please visit
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.