AE
Andrew J. Ellermann
KESTRA ADVISORY SERVICES
Vincennes, IN 47591
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CRD#: 4701154
AE
Professional summary
Andrew Joseph Ellermann, who also goes by Andrew Ellerman, Andy Ellermann, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Vincennes, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Vincennes, Indiana.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Ellerman | Andy Ellermann
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) 10/28/2009: Old National Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 9/29/2021 - Old National Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - AVP - Started 01/02/2020 - 5 Hours Per Month - Participate in the referral program by referring prospects for banking products. Business Name: FIRST CITY WEALTH POSITION: Owner / Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 03/01/2023 ADDRESS: 1091 N Hillcrest Rd, Vincennes IN 47591 DESCRIPTION: Planning, Investing, Consulting with clients under the DBA Business Name: KESTRA PRIVATE WEALTH SERVICES, LLC POSITION: Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 03/01/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Planning, Consulting, Investing for clients Business Name: A & M ELLERMANN PROPERTIES, LLC POSITION: Signatory Agent NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2023 ADDRESS: 1701 Hart St, Vincennes IN 47591 DESCRIPTION: Bookkeeping and maintaining of checking account to balance rental income with expenses such as property taxes, utilities, and routine maintenance. Business Name: HELPING HIS HANDS POSITION: board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/26/2024 ADDRESS: 2011 Willow St, Vincennes IN 47591 DESCRIPTION: I will be a member of the board of directors that discuss operations of this faith-based charity. I will not have access to any accounts, signing authority, nor be providing investment advise to the organization.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Ellermann'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
March 22, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1091 N Hillcrest Rd, Vincennes, IN 47591Office #2: 1699 Hart Street, Vincennes, IN 47591RIA
CRD#: 283330
Vincennes, IN
Current
March 22, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1699 Hart Street, Vincennes, IN 47591BD
CRD#: 42046
Vincennes, IN
Past
November 30, 2009 - April 3, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOGOOTEE, IN
Past
November 30, 2009 - April 3, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
LOGOOTEE, IN
Past
September 18, 2009 - December 1, 2009
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
VINCENNES, IN
Past
September 18, 2009 - December 1, 2009
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
VINCENNES, IN
Past
February 22, 2006 - September 14, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
VINCENNES, IN
Past
January 10, 2006 - September 14, 2009
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
VINCENNES, IN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(3/22/2023)
RR
Florida(3/22/2023)
RR
Georgia(3/22/2023)
RR
Illinois(3/22/2023)
RR
Indiana(3/22/2023)
IAR
Indiana(3/22/2023)
RR
Kentucky(3/22/2023)
RR
Missouri(3/22/2023)
RR
Virginia(3/22/2023)
RR
Wisconsin(3/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
