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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

DONALD RICHARD ABAUNZA

Advisor at CETERA INVESTMENT ADVISERS LLC

HARVEY, LA

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Search this name across graphsid dfx:ria:972ad4a5-dc5a-2bf4-3aaa-ce599fa8294c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 24, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 31, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 31, 1999
First registration: May 24, 2005
Dual registered: yes, broker-dealer
Other names: DONALD RICHARD ABAUNZA
IAPD individual key: 3172450

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 10, 2022	n/a	yes	HARVEY, LA	Current employment
HANCOCK WHITNEY INVESTMENT SERVICES INC.	Independent wealth	Feb 8, 2012	Aug 10, 2022	no	RIVER RIDGE, LA\|METAIRIE, LA\|METAIRIE, LA\|LAPLACE, LA\|KENNER, LA\|METAIRIE, LA\|NEW ORLEANS, LA\|KENNER, LA\|KENNER, LA\|DENHAM SPRINGS, LA\|NEW ORLEANS, LA\|HARVEY, LA\|MARRERO, LA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Sep 28, 2009	Feb 13, 2012	no	NEW ORLEANS, LA\|KENNER, LA	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Feb 13, 2007	Sep 28, 2009	no	MEMPHIS, TN\|NEW ORLEANS, LA\|METAIRIE, LA	Previous registration
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	n/a	May 24, 2005	Feb 13, 2007	no	NEW ORLEANS, LA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HANCOCK WHITNEY INVESTMENT SERVICES INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2022	Aug 10, 2022	0	Bulk transfer	Ibd to ibd
CETERA INVESTMENT SERVICES LLC	HANCOCK WHITNEY INVESTMENT SERVICES INC.	Feb 13, 2012	Feb 8, 2012	-5	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	CETERA INVESTMENT SERVICES LLC	Sep 28, 2009	Sep 28, 2009	0	Firm change	Other
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	MORGAN KEEGAN & COMPANY, LLC	Feb 13, 2007	Feb 13, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2022 to presentfactForm ADV
→ HANCOCK WHITNEY INVESTMENT SERVICES INC.Registered adviserregistration: previous registration
Feb 8, 2012 to Aug 10, 2022factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Sep 28, 2009 to Feb 13, 2012factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Feb 13, 2007 to Sep 28, 2009factForm ADV
→ AMSOUTH INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: previous registration
May 24, 2005 to Feb 13, 2007factForm ADV

Dated events

No dated event names this entity yet.