Andre W. Fix
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.
Andre W Fix, who also goes by Andre Fix, was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1992. Andre had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2018 - January 2, 2020
CETERA INVESTMENT ADVISERS LLC
December 3, 2018 - January 2, 2020
CETERA INVESTMENT SERVICES LLC
February 2, 2017 - December 12, 2018
CUNA BROKERAGE SERVICES, INC.
December 7, 2016 - December 12, 2018
CUNA BROKERAGE SERVICES, INC.
May 19, 2014 - August 12, 2015
TRANSAMERICA CAPITAL, LLC
February 21, 2007 - May 5, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 11, 2005 - December 19, 2006
COLONIAL BROKERAGE, INC.
June 11, 2001 - April 20, 2005
WAMU INVESTMENTS, INC.
September 9, 1998 - January 2, 2001
KRIEGER FINANCIAL SERVICES, INC.
October 3, 1996 - September 16, 1998
FIRST SECURITIES USA, INC.
July 2, 1996 - October 1, 1996
PROSPERA FINANCIAL SERVICES, INC.
May 15, 1995 - July 10, 1996
SMITH CULVER INVESTMENTS
July 22, 1994 - December 22, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 23, 1992 - August 4, 1994
HIBBARD BROWN & CO., 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
Exams
Series 55
Date: 8/1/1998
Limited Representative-Equity Trader ExamCurrent 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 | ||
| 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.
