Andrew M. St. Pierre
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 Manfred St. Pierre was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - November 6, 2025
CETERA INVESTMENT ADVISERS LLC
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
October 3, 2016 - November 6, 2025
CETERA ADVISORS LLC
November 18, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
November 14, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
June 7, 2010 - November 15, 2013
WINSLOW, EVANS & CROCKER, INC.
June 7, 2010 - November 15, 2013
WINSLOW, EVANS & CROCKER, INC.
March 4, 2009 - May 22, 2010
NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.
August 24, 2006 - June 3, 2010
COMMONWEALTH FINANCIAL NETWORK
August 15, 2006 - March 6, 2009
BEACON INVESTMENT MANAGEMENT, LLC
October 5, 2001 - June 3, 2010
COMMONWEALTH FINANCIAL NETWORK
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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 |
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.
