Andrew C. Fass
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Corey Fass's CRS (Customer Relationship Summary).
Certified licenses
Experience
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 95682September 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 95682February 2, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
February 1, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 7, 2015 - March 2, 2022
HILLTOP SECURITIES INC.
December 7, 2015 - March 2, 2022
HILLTOP SECURITIES INC.
August 13, 2012 - January 19, 2016
BEVERLY HILLS WEALTH MANAGEMENT, LLC
July 17, 2012 - December 16, 2015
MUTUAL SECURITIES, INC.
July 3, 2008 - July 20, 2012
ROBERT W. BAIRD & CO. INCORPORATED
July 3, 2008 - July 20, 2012
ROBERT W. BAIRD & CO. INCORPORATED
October 12, 2007 - June 12, 2008
MORGAN STANLEY & CO. LLC
October 12, 2007 - June 12, 2008
MORGAN STANLEY & CO. LLC
May 13, 2003 - October 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 24, 1997 - October 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 13, 1996 - May 14, 1997
MACKEN SECURITIES, INC.
August 8, 1995 - February 20, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 27, 1992 - March 22, 1995
ESSEX NATIONAL SECURITIES, LLC
March 6, 1992 - February 26, 1993
NEW ENGLAND SECURITIES
October 22, 1991 - December 31, 1991
CENTURY INVESTORS OF AMERICA, INC.
October 8, 1990 - March 14, 1991
CENTURY INVESTORS OF AMERICA, INC.
October 5, 1988 - February 17, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
February 15, 1988 - October 17, 1988
LEHMAN BROTHERS INC.
February 24, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
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Exams
Series 8
Date: 12/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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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