IA
Indumathi Anand
CETERA INVESTMENT ADVISERS LLC
PHOENIX, AZ
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CRD#: 4602438
IA
Professional summary
Indumathi Anand, who also goes by Indu Mathi Anand, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA WEALTH SERVICES, LLC located in Phoenix, Arizona.
Indumathi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Indumathi has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Indu Mathi Anand
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) Anand Properties LLC 15215 S 48th. Street, Ste 160 Phoenix AZ 85044 Rental Property Owner/Management Partner/General Partner~1/1/2004~2hrs~0hrs~Owner. 2) VALLEY CPA SERVICES POSITION: Advisor NATURE: Anand & Anand CPA PC, owned by Indu and Ron Anand was sold to Valley CPA Services as of 11/17/2022. As part of the sale agreement and transition, I will beadvising and guiding on accounting and tax matters purely on a temporary basis.? INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 11/17/2022 ADDRESS: 2730 W Agua Fria Fwy, Ste 205, Phoenix AZ 85027, United States DESCRIPTION: Assist the new owners to absorb the practice and assist the clients and the staff to work in the new environment. Accounting, Tax and Consulting matters. 3) ANAND FINANCIAL SERVICES POSITION: Registered Investment Advisor NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2010 ADDRESS: 15215 S-48TH Street Ste. 160, Phoenix AZ 85044, DESCRIPTION: Operational/Marketing name for Avantax
CRS (Client Relationship Summary) - RIA
Click below to view Indumathi Anand'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PHOENIX, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Phoenix, AZ
Past
December 1, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Phoenix, AZ
Past
April 3, 2017 - November 17, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Phoenix, AZ
Past
November 20, 2002 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Phoenix, AZ
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(9/5/2025)
IAR
Arizona(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
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
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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
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.
