Sandra K. Engstrom

CETERA INVESTMENT ADVISERS LLC

MESA, AZ

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CRD#: 2636305

Professional summary

Sandra Kay Engstrom, who also goes by Sandi Tietze, Sandra Kay Tietze, Sandi Kay Washburn, Sandi Washburn, Sandra Kay Washburn, Sandra Washburn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mesa, Arizona and CETERA WEALTH SERVICES, LLC located in Palm Beach Gardens, Florida.

Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sandra has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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. EVERSHORE FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2018 ADDRESS: , Palm Beach Gardens FL , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: EVERSHORE FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2016, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Kay Engstrom'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

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 3300 Pga Blvd Ste 900, Palm Beach Gardens, FL 33410Office #3: 3514 N Power Road Suite 115, Mesa, AZ 85215

RIA

CRD#: 105644

MESA, AZ

Current

June 15, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3300 Pga Blvd Ste 900, Palm Beach Gardens, FL 33410Office #2: 3514 N Power Road Suite 115, Mesa, AZ 85215

CRD#: 7556

PURCHASE, NY

Past

August 26, 1996 - August 28, 1997

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

Arizona
(8/10/2023)

IAR

Arizona
(8/10/2023)

California
(8/10/2023)

Florida
(6/16/2023)

IAR

Florida
(8/10/2023)

New Hampshire
(8/10/2023)

Pennsylvania
(8/10/2023)

South Carolina
(1/5/2024)

Tennessee
(8/10/2023)

Texas
(6/11/2024)

Non-Member General Securities 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

Sandra K. Engstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Kay Engstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

IRONSTONE SECURITIES, INC.

IRONSTONE SECURITIES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/1997

Series 63

Date: 10/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/23/1996

Series 2

Date: 7/3/1995

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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