AU
Andrew C. Umbach
CETERA INVESTMENT ADVISERS LLC
LISLE, IL 60532
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CRD#: 4658279
AU
Professional summary
Andrew Craig Umbach, CFP®, ChFC® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lisle, Illinois and CETERA ADVISORS LLC located in Lisle, Illinois.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 5 firms and has passed the Series 66, Series 22TO, Series 99TO, 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.) Resource Brokerage; Independent Contractor; Insurance; Start date 09/03/2015; 24 hours per month. 2.) Legal Shield; Independent Contractor; Start date 08/25/2015; 8 hours per month. 3.) Social Security Analyses; Independent Contractor; Start date 08/25/2015; 16 hours per month. 4.) Pulse Financial Services, LLC; Employee; DBA; Start date 06/27/2005; 160 hours per month. 5.) Brooklyn Pier 5 Marina #2 LLC; Investor; Real Estate; Start date 09/25/2015 6.) iOVest Development LLC; Investor; Real Estate; Start date 08/25/2015; 4 hours per month. 7) Insurance; Agent; Insurance; Start date: 8/25/2015; 4 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Craig Umbach'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®
CFP®
Start date: 2012
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6040 Route 53 Suite 53, Lisle, IL 60532RIA
CRD#: 105644
LISLE, IL
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 6040 Route 53 Suite A, Lisle, IL 60532BD
CRD#: 10299
Lisle, IL
Past
December 17, 2014 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LISLE, IL
Past
December 17, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Lisle, IL
Past
January 1, 2006 - January 7, 2015
KCD FINANCIAL, INC.
RIA
CRD#: 127473
LISLE, IL
Past
July 12, 2005 - January 7, 2015
KCD FINANCIAL, INC.
BD
CRD#: 127473
LISLE, IL
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(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
IAR
Illinois(11/12/2020)
RR
Illinois(9/8/2022)
RR
Indiana(9/8/2022)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(1/15/2025)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Montana(9/8/2022)
RR
Nevada(9/8/2022)
RR
New York(9/8/2022)
RR
Pennsylvania(8/3/2023)
RR
South Carolina(9/8/2022)
RR
Tennessee(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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.
