Andrew W. Mcclelland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew William Mcclelland, who also goes by Andy Mcclelland, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2023 - July 31, 2024
CETERA INVESTMENT SERVICES LLC
August 23, 2023 - July 31, 2024
CETERA INVESTMENT ADVISERS LLC
January 2, 2019 - January 8, 2020
VISION 4 FUND DISTRIBUTORS
September 11, 2018 - December 31, 2018
FIRST DOMINION CAPITAL CORP.
January 6, 2017 - June 12, 2017
FIRST DOMINION CAPITAL CORP.
June 26, 2015 - December 31, 2017
RADIANCE ASSET MANAGEMENT, LLC
May 28, 2015 - December 31, 2016
TSC DISTRIBUTORS, LLC
August 29, 2008 - January 7, 2015
EATON VANCE MANAGEMENT
January 31, 2002 - July 17, 2008
EATON VANCE MANAGEMENT
October 10, 2000 - January 7, 2015
EATON VANCE DISTRIBUTORS, INC.
July 14, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
April 26, 2000 - October 27, 2000
DIRECTED SERVICES LLC
October 27, 1998 - February 14, 2000
NATIONAL PLANNING CORPORATION
May 22, 1986 - February 9, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
