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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Andrew Devereux Eddy

Andrew D. Eddy

EDDY FINANCIAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 3000011
Andrew Devereux Eddy

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.
The advisor shows no other business activity.

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

BD
CRD#: 519
WOODLAND HILLS, CA
Past

February 25, 1998 - April 6, 1998

CINCINNATI ANALYSTS, INC.

BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/10/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2014
General Securities Representative Examination

Current Firm

EF
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)
PREMIUM
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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
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts99
AUM (Assets Under Management)$ 61,888,500

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.

Company Information

EDDY FINANCIAL, LLC

CRD#: 290208Santa Monica, CA 90401

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