AF
Andrew C. Fass
CETERA INVESTMENT ADVISERS LLC
CARMICHAEL, CA 95608
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CRD#: 1623264
AF
Professional summary
Andrew Corey Fass, who also goes by Andrew Fass, Andy Fass, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carmichael, California and CETERA WEALTH SERVICES, LLC located in Carmichael, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Andrew has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Fass | Andy Fass
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) FINRA POSITION: Arbitrator NATURE: Arbitrator - Help to resolve disputes between FINRA member firms and Clients, as well as FINRA firms and registered employees. Listen to pertinent facts from each side and decide on merits of either parties arguments. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2015 ADDRESS: 1735 K Street, NW, Washington DC 20006, United States DESCRIPTION: -Act as impartial Arbitrator for FINRA arbitrations.-Listen to opposing parties arguments on the merits of their disputes.-Decide on resolution of dispute-Decide if awards or other actions are appropriate.-Review case for further actions if appropriate 2) FASS WEALTH STRATEGIES GROUP (FWSG) POSITION: Founder/Advisor NATURE: FWSG is a Marketing Name for our group of registered representatives/investment adviserrepresentatives and is not a division of the firm nor is it a legal entity. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 11573 Melones Circle, Gold River CA 95670, United States DESCRIPTION: -Financial Advisory-Wealth Management-Retirement Planning-Estate Planning-Investment Management 3) International Federation for Retirement Education; Member Board of Standards; Member Board of Standards. Review rules of organization, vote on procedural changes that meet standards, review membership statistics, discuss ideas for guiding the future of the organization.; NIR; 1; 07/01/2019; P.O. Box 524 Barrington IL 60011-0524; -Review policies and procedures for InFRE.-Vote on procedural changes that meet standards-Review membership statistics-Discuss ideas for guiding the future of the organization-Meet once a quarter for a conference call 4) Pioneer Village HOA; Director; Director on the Board of our village Homeowners Association. Manage affairs of HOA. Attend monthly meetings. Review annual budget, discuss enforcement of the CC&R's.; NIR; 1; 10/02/2017; 11715 Gold Country Blvd. Gold River CA 95670; -Make decisions and oversee village issues.-Attend monthly meetings-Review annual budget-Discuss enforcement of the CC&R's-Manage database for Village gate; 5) NAME OF OTHER BUSINESS: RESERVE OFFICERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 1 CONSTITUTION AVENUE NE, WASHINGTON, D.C. 20002; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: CHAIRMAN INSURANCE AND FINANCIAL SERVICES COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ACT IN AN ADVISORY CAPACITY ON ALL MATTERS, INCLUDING RISK MANAGEMENT ADVICE AND COUNSEL ON INSURANCE AND EMPLOYEE BENEFITS PROGRAMS COVERING THE ASSOCIATION;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Corey Fass's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6535 Fair Oaks Blvd, Carmichael, CA 95608Office #2: 4140 Mother Lode Dr. Ste. 116, Shingle Springs, CA 95682RIA
CRD#: 105644
CARMICHAEL, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6535 Fair Oaks Blvd, Carmichael, CA 95608Office #2: 4140 Mother Lode Dr. Ste. 116, Shingle Springs, CA 95682BD
CRD#: 13572
Carmichael, CA
Past
February 2, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Carmichael, CA
Past
February 1, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Carmichael, CA
Past
December 7, 2015 - March 2, 2022
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Roseville, CA
Past
December 7, 2015 - March 2, 2022
HILLTOP SECURITIES INC.
BD
CRD#: 6220
Roseville, CA
Past
August 13, 2012 - January 19, 2016
BEVERLY HILLS WEALTH MANAGEMENT, LLC
RIA
CRD#: 152031
BEVERLY HILLS, CA
Past
July 17, 2012 - December 16, 2015
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
ROSEVILLE, CA
Past
July 3, 2008 - July 20, 2012
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
SACRAMENTO, CA
Past
July 3, 2008 - July 20, 2012
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
SACRAMENTO, CA
Past
October 12, 2007 - June 12, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ROSEVILLE, CA
Past
October 12, 2007 - June 12, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ROSEVILLE, CA
Past
May 13, 2003 - October 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FOLSOM, CA
Past
September 24, 1997 - October 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FOLSOM, CA
Past
February 13, 1996 - May 14, 1997
MACKEN SECURITIES, INC.
BD
CRD#: 13390
ROSEVILLE, CA
Past
August 8, 1995 - February 20, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
May 27, 1992 - March 22, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
March 6, 1992 - February 26, 1993
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 22, 1991 - December 31, 1991
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
Past
October 8, 1990 - March 14, 1991
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
Past
October 5, 1988 - February 17, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
February 15, 1988 - October 17, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 24, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Oregon(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Carmichael, CA 95608TRUST BUT VERIFY
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