Andrew J. Kathol

ONE WEALTH MAP

Omaha, NE

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CRD#: 4626189

Professional summary

Andrew Joseph Kathol, who also goes by Andrew Kathol, Andy Kathol, Andrew Joseph Kathol, is a registered financial advisor currently at ONE WEALTH MAP, LLC located in Omaha, Nebraska.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Andrew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Kathol | Andy Kathol | Andrew Joseph Kathol

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.

INSURANCE AGENT - ANDY KATHOL INDEPENDEPTN AGENT - START DATE: 8/1/2022 - SELLING VARIOUS INSURANCE PRODUCTS. 40 HRS/MONTH DURING TRADING HOURS. OMAHA, NE 68134

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Kathol's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 14, 2025 - Present

ONE WEALTH MAP, LLC

RIA

CRD#: 171750

Omaha, NE

Past

October 30, 2024 - April 1, 2025

ADVISOR SHARE WEALTH MANAGEMENT, LLC

RIA

CRD#: 307997

Omaha, NE

Past

August 22, 2022 - October 22, 2024

SEQUENT PLANNING, LLC

RIA

CRD#: 160381

OMAHA, NE

Past

August 2, 2021 - June 15, 2022

ADAPTATION FINANCIAL ADVISORS INC.

RIA

CRD#: 309192

Omaha, NE

Past

August 2, 2021 - June 23, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Omaha, NE

Past

January 21, 2014 - April 20, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

January 7, 2014 - April 20, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

April 22, 2006 - April 20, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 12, 2004 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

BELLEVUE, NE

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".

ONE WEALTH MAP, LLC

CRD#: 171750 / SEC#: 801-114697

RIA

Registered Investment Advisory firm - (2/12/2019 Approved)

Texas

Registered Investment Advisory firm - (4/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Nebraska
(4/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/4/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 4/2/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 12/2/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/11/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/12/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/2004

General Securities Principal Examination

Current Firm

ONE WEALTH MAP, LLC

CRD#: 171750 / SEC#: 801-114697

RIA

Registered Investment Advisory firm - (2/12/2019 Approved)

Texas

Registered Investment Advisory firm - (4/1/2021 Terminated)

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Contact information

Main Address

1980 Festival Plaza Drive Suite 300, Las Vegas, NV 89135

Mailing Address

Phone number

(702) 470-2660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JANUARY 2025 (1/6/2025)

Regulatory assets under management

Total Number of Accounts	1,314
AUM (Assets Under Management)	$ 1,101,210,000

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Kathol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Kathol's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISOR SHARE WEALTH MANAGEMENT, LLC

SEQUENT PLANNING, LLC

ADAPTATION FINANCIAL ADVISORS INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE CLEARING, INC.

Primary Firm SEC Registration

ONE WEALTH MAP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2014

Series 63

Date: 2/18/2004

SIE

Date: 10/1/2018

Series 34

Date: 4/2/2012

Series 3

Date: 12/2/2011

Series 7

Date: 2/11/2004

Series 4

Date: 3/12/2009

Series 24

Date: 11/1/2004

Current Firm

ONE WEALTH MAP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONE WEALTH MAP, LLC

TRUST BUT VERIFY

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