AM
Andrew K. Markham
CETERA INVESTMENT ADVISERS LLC
LAGUNA HILLS, CA 92653
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CRD#: 1863372
AM
Professional summary
Andrew Kent Markham is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Laguna Hills, California and CETERA ADVISORS LLC located in Laguna Hills, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Andrew has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.)ANDREW MARKHAM; INSURANCE; START DATE: 3/27/2007. 2.) MARKHAM FINANCIAL SERVICES, INC. DBA. START DATE 10/15/2008. 3.) MARKHAM FINANCIAL SERVICES/ ANDREW MARKHAM; PRESIDENT; CONSULTING; 100% OWNED; START DATE 1/1/2011; 4 HOURS PER MONTH. 4.) CHARITY BIKE RIDE FOR MULTIPLE SCLEROSIS VOLUNTEER NON-PROFIT ORGANIZATION 1 HOURS PER MONTH 5.) A TRAVEL MOBIUS; WRITER; START DATE 07/13/2015; 4 HOURS PER MONTH. 6.) MARKHAM FAMILY TRUST; SUCCESSOR TRUSTEE; FIDUCIARY POSITION; START DATE 06/04/2012 7.) CARING CETERA; VOLUNTEER BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE 01/01/2022; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Kent Markham'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 23332 Mill Creek Dr., Ste 120, Laguna Hills, CA 92653RIA
CRD#: 105644
LAGUNA HILLS, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 23332 Mill Creek Drive Suite 120, Laguna Hills, CA 92653BD
CRD#: 10299
Laguna Hills, CA
Past
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LAGUNA HILLS, CA
Past
January 1, 2007 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LAGUNA HILLS, CA
Past
October 27, 1994 - January 1, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
LAGUNA HILLS, CA
Past
June 22, 1989 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
LAGUNA HILLS, CA
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
Alabama(9/8/2022)
RR
Arizona(9/8/2022)
IAR
California(11/12/2020)
RR
California(9/8/2022)
RR
Colorado(11/14/2022)
RR
Idaho(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Missouri(4/22/2025)
RR
New Mexico(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Oregon(9/8/2022)
IAR
Texas(8/23/2021)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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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.
