Todd Gautreaux has been an investment adviser representative at Harger and Company since August 2020, and is not listed among the firm’s executive officers or direct owners.
Harger and Company, Inc. is a Baton Rouge, LA firm with $137M under management, 280 clients and 3 advisers across 3 offices, as of its March 2026 filing.
Todd Gautreaux’s longest registration is the current one, 6 years at Harger and Company since 2020. Before joining Harger and Company in 2020, Todd Gautreaux was registered through LPL Financial LLC and Cetera Investment Advisers LLC.
- LPL Financial LLC– · under a yearBaton Rouge, LA · Adviser representative · Firm CRD 6413
- Cetera Investment Advisers LLC– · 4 yearsAlexandria, LA · Adviser representative · Firm CRD 105644
- Sharebuilder 401k– · under a yearSeattle, WA · Adviser representative · Firm CRD 136865
- Capital One Financial Advisors LLC– · 2 yearsNew Orleans, LA · Adviser representative · Firm CRD 127236
Investment adviser representative registrations
Todd Gautreaux is registered as an investment adviser representative in Louisiana, since August 2020.
- LouisianaSince 30 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 6 February 2012 |
| Series 7 | General Securities Representative Examination | 22 February 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 May 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 June 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Todd Sherman Gautreaux
- CRD
- 5089359
- Firm
- Harger and Company · CRD 10385
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Todd Gautreaux work?
Todd Gautreaux is an investment adviser representative registered through Harger and Company, Inc. since August 2020, and is not listed among the firm’s executive officers or direct owners.
Is Todd Gautreaux a financial advisor?
Yes. Todd Gautreaux has a current investment-adviser registration in Louisiana, through Harger and Company since August 2020.
How many years of experience does Todd Gautreaux have?
Todd Gautreaux has 20 years in the financial industry, since June 2006, across 5 adviser firms.
What exams has Todd Gautreaux passed?
Todd Gautreaux has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in June 2006. FINRA credited Todd Gautreaux with the SIE, which began in October 2018.
Where did Todd Gautreaux work before Harger and Company?
Before Harger and Company, Todd Gautreaux was registered through LPL Financial LLC, May 2020 to August 2020; Cetera Investment Advisers LLC, June 2015 to May 2020; Sharebuilder 401k, January 2015 to June 2015; Capital One Financial Advisors LLC, February 2012 to January 2015.
Is Todd Gautreaux registered with FINRA?
Yes. Todd Gautreaux has a current broker registration, under CRD 5089359.
Source: FINRA BrokerCheck
How can I verify Todd Gautreaux’s record?
Search CRD 5089359 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Todd Gautreaux’s full registration record.
