Andrew D. Eddy

EDDY FINANCIAL

Santa Monica, CA 90401

Some features on this profile are disabled

CRD#: 3000011

Professional summary

Andrew Devereux Eddy, AIF®, CFP®, ChFC®, CLU® is a registered financial advisor currently at EDDY FINANCIAL, LLC located in Santa Monica, California.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Andrew has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

SELF POSITION: BROKER NATURE: INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2014 ADDRESS: SELF EMPLOYED, SANTA MONICA CA 90403 DESCRIPTION: FIXED INSURANCE - LIFE, HEALTH, LONG TERM CARE, DISABILITY, ANNUITIES. HOMEOWNERS ASSOCATION POSITION: Volunteer Head of Homeowners Association at my place of residence. NATURE: Homeowners Association INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: Personal Residence, Santa Monica CA 90403 DESCRIPTION: Volunteer Head of Homeowners Association at my place of residence.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Devereux Eddy'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2016

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 13, 2017 - Present

EDDY FINANCIAL, LLC

Office #1: 100 Wilshire Blvd, Suite 700, Santa Monica, CA 90401

RIA

CRD#: 290208

Santa Monica, CA

Past

March 10, 2015 - November 14, 2017

CAPITAL ANALYSTS

RIA

CRD#: 162200

WOODLAND HILLS, CA

Past

January 15, 2015 - November 14, 2017

LINCOLN INVESTMENT

RIA

CRD#: 519

WOODLAND HILLS, CA

Past

December 1, 2014 - November 14, 2017

LINCOLN INVESTMENT

CRD#: 519

WOODLAND HILLS, CA

Past

February 25, 1998 - April 6, 1998

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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.

Highlighted states indicate IAR registrations

IAR

California
(11/13/2017)

IAR

Texas
(2/21/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2014

General Securities Representative Examination

Current Firm

EDDY FINANCIAL, LLC

AESM LLC | EDDY FINANCIAL, LLC

CRD#: 290208 / SEC#: 801-112010

RIA

Registered Investment Advisory firm - (2/16/2018 Terminated)

California

Registered Investment Advisory firm - (2/15/2018 Approved)

Louisiana

Registered Investment Advisory firm - (3/25/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/16/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

100 Wilshire Boulevard Suite 700, Santa Monica, CA 90401

Mailing Address

Phone number

(310) 451-3339

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 53,682,000

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew D. Eddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Devereux Eddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDDY FINANCIAL, LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2014

Series 63

Date: 3/2/1998

SIE

Date: 11/14/2017

Series 7

Date: 12/1/2014

Current Firm

EDDY FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EDDY FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors