AA
Andrew A. Arno
CETERA INVESTMENT ADVISERS LLC
PHILADELPHIA, PA 19106
Some features on this profile are disabled
CRD#: 2834759
AA
Professional summary
Andrew A Arno, AIF®, who also goes by Andy Arno, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA ADVISORS LLC located in Philadelphia, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Arno
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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2017; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: WEALTH MANAGEMENT ASSOCIATES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 08/2017; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES, INC. INVESTMENT RELATED: YES; ADDRESS: 400 MARKET STREET SUITE 360, PHILADELPHIA, PA 19106; NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES; START DATE: 11/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR / INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INSURANCE AND FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew A Arno'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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 190 N Independence Mall West Suite 602, Philadelphia, PA 19106Office #2: 301 Oxford Valley Rd Ste 1202a, Yardley, PA 19067RIA
CRD#: 105644
PHILADELPHIA, PA
Current
August 21, 2017 - Present
CETERA ADVISORS LLC
Office #1: 190 N Independence Mall West Suite 602, Philadelphia, PA 19106Office #2: 301 Oxford Valley Rd Ste 1202a, Yardley, PA 19067BD
CRD#: 10299
PHILADELPHIA, PA
Past
August 22, 2017 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
November 2, 2015 - August 31, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PHILADELPHIA, PA
Past
October 8, 2015 - October 17, 2017
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
Philadelphia, PA
Past
July 16, 2004 - August 31, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PHILADELPHIA, PA
Past
July 30, 2002 - March 1, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
MT LAUREL, NJ
Past
January 3, 1997 - March 1, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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
Arizona(5/29/2019)
RR
California(11/16/2018)
RR
Colorado(11/27/2018)
RR
Delaware(12/26/2019)
RR
Florida(8/23/2017)
RR
Georgia(1/11/2021)
RR
Maine(1/10/2020)
RR
Maryland(8/22/2017)
RR
Michigan(9/19/2022)
RR
New Jersey(8/24/2017)
RR
New Mexico(1/28/2021)
RR
New York(8/29/2017)
RR
North Carolina(9/13/2017)
RR
Pennsylvania(8/22/2017)
IAR
Pennsylvania(3/21/2024)
RR
South Carolina(8/30/2017)
RR
Virginia(4/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
