AM
Andrew J. Mongeon
CETERA INVESTMENT ADVISERS LLC
Bismarck, ND 58501
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CRD#: 4143165
AM
Professional summary
Andrew John Mongeon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bismarck, North Dakota and CETERA WEALTH SERVICES, LLC located in Bismarck, North Dakota.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 8 firms and has passed the Series 66, 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.
1. NAME OF OTHER BUSINESS: LUX WEATLH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Andrew John Mongeon'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®
NoneExperience
Current
September 16, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 418 E Rosser Ave, Suite 204, Bismarck, ND 58501RIA
CRD#: 105644
Bismarck, ND
Current
September 10, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 418 E Rosser Ave Suite 202, Bismarck, ND 58501BD
CRD#: 13572
BISMARCK, ND
Past
September 2, 2014 - September 20, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BISMARCK, ND
Past
August 1, 2014 - September 20, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BISMARCK, ND
Past
December 13, 2005 - August 11, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BISMARCK, ND
Past
December 5, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PLYMOUTH, MN
Past
December 5, 2005 - August 11, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BISMARCK, ND
Past
March 30, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
ALPHARETTA, GA
Past
August 17, 2001 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
May 9, 2000 - August 8, 2001
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
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(9/10/2024)
RR
California(9/10/2024)
RR
Colorado(9/10/2024)
RR
Connecticut(9/10/2024)
RR
Florida(9/10/2024)
RR
Georgia(9/10/2024)
RR
Hawaii(9/10/2024)
RR
Idaho(9/10/2024)
RR
Illinois(9/10/2024)
RR
Iowa(9/10/2024)
RR
Kansas(9/10/2024)
RR
Kentucky(9/10/2024)
RR
Maryland(9/10/2024)
RR
Michigan(9/10/2024)
RR
Minnesota(9/10/2024)
RR
Missouri(9/10/2024)
RR
Montana(9/10/2024)
RR
Nebraska(9/10/2024)
RR
New Mexico(9/10/2024)
RR
North Carolina(9/10/2024)
RR
North Dakota(9/10/2024)
IAR
North Dakota(9/16/2024)
RR
Oklahoma(9/10/2024)
RR
Oregon(9/10/2024)
RR
South Dakota(9/10/2024)
RR
Texas(9/10/2024)
IAR
Texas(10/17/2024)
RR
Washington(9/10/2024)
RR
Wisconsin(9/10/2024)
RR
Wyoming(9/10/2024)
Exams
State Security Law 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
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Bismarck, ND 58501TRUST BUT VERIFY
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