Andrew C. Yost

CETERA INVESTMENT ADVISERS LLC

Mooresville, NC

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CRD#: 1929045

Professional summary

Andrew Christopher Yost, who also goes by Andy Yost, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mooresville, North Carolina and CETERA WEALTH SERVICES, LLC located in Shrewsbury, New Jersey.

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 11 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy Yost

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. NAME OF OTHER BUSINESS: ROSSO FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2016; POSITION/TITLE/RELATIONSHIP: SENIOR ADVISOR; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SALES AND ACCOUNT MANAGEMENT;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Christopher Yost's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 1, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Mooresville, NC

Current

February 1, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702

CRD#: 13572

Shrewsbury, NJ

Past

October 1, 2021 - February 2, 2024

NFSG CORPORATION

RIA

CRD#: 130814

MOORESVILLE, NC

Past

October 1, 2021 - February 2, 2024

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

January 27, 2021 - October 8, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

MOORESVILLE, NC

Past

January 27, 2021 - October 8, 2021

LPL FINANCIAL LLC

CRD#: 6413

MOORESVILLE, NC

Past

November 23, 2016 - March 3, 2021

REGAL ADVISORY SERVICES, INC.

RIA

CRD#: 123842

Mooresville, NC

Past

August 5, 2016 - March 3, 2021

REGAL SECURITIES, INC.

CRD#: 7297

Sea Girt, NJ

Past

July 15, 2003 - August 6, 2015

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

February 20, 2002 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 17, 1998 - October 27, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 12, 1989 - October 12, 1989

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

New Jersey
(2/1/2024)

New York
(2/1/2024)

IAR

North Carolina
(2/1/2024)

North Carolina
(2/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/25/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/22/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Andrew C. Yost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Christopher Yost's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

REGAL ADVISORY SERVICES, INC.

REGAL SECURITIES, INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/25/2021

Series 65

Date: 11/22/2016

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2013

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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