CP
CP

Chad Pugh

23 Years of Experience
Natchitoches, LA
2 DisclosuresBroker

Chad Pugh is a registered investment advisor, based in Natchitoches, LA, with 23 years of industry experience.

Location

315 Royal Street, Natchitoches, LA, 71457

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2009
Settled
Employment Separation After Allegations
November 2009
Employment History
Current Registrations
Cetera Investment Services LLC
February 2024 - Present · 2 yrs 3 mos
Cetera Investment Advisers LLC
February 2024 - Present · 2 yrs 3 mos
Cetera Investment Services LLCBroker
February 2024 - Present · 2 yrs 3 mos
Previous Registrations
MML Investors Services, LLC
September 2022 - January 2024 · 1 yr 4 mos
MML Investors Services, LLCBroker
August 2022 - January 2024 · 1 yr 5 mos
Cetera Investment Advisers LLC
January 2014 - August 2022 · 8 yrs 7 mos
Cetera Investment Services LLCBroker
November 2013 - August 2022 · 8 yrs 9 mos
Cetera Investment Services LLC
November 2013 - January 2014 · 2 mos
Hancock Investment Services, INC.
April 2013 - November 2013 · 7 mos
Hancock Investment Services, INC.Broker
October 2012 - November 2013 · 1 yr 1 mo
Fbt Investments, INC.Broker
November 2009 - October 2012 · 2 yrs 11 mos
Capital One Investment Services LLCBroker
May 2008 - November 2009 · 1 yr 6 mos
Capital One Investments, LLCBroker
October 2002 - May 2008 · 5 yrs 7 mos
Lincoln Financial Advisors CorporationBroker
April 2002 - September 2002 · 5 mos
The Lincoln National Life Insurance CompanyBroker
April 2002 - September 2002 · 5 mos
State Registrations4 states
ARLAMSTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.