Andrew N. George
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Neal George SR, who also goes by Andrew Neal George, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - February 12, 2019
CETERA INVESTMENT ADVISERS LLC
March 22, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 22, 2013 - February 12, 2019
CETERA INVESTMENT SERVICES LLC
October 3, 2011 - March 26, 2013
ALLSTATE FINANCIAL SERVICES, LLC
February 7, 2011 - June 9, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2009 - June 9, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 21, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 8, 2008 - January 10, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 17, 2003 - November 10, 2003
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
