AM
Andrew P. Margolin
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY 10018
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CRD#: 4743742
AM
Professional summary
Andrew Paul Margolin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA ADVISORS LLC located in New York, New York.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 4 firms and has passed the Series 66, 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) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2021; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2) MBL FINANCIAL ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 02/2020, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3) MBL BENEFITS CONSULTING, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, EMPLOYEE BENEFITS, STARTED 02/20, SERVICE REP, LESS THAN 1 HOUR PER WEEK, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE 4) EAST SIDE COUNSEL ON THE AGING, NOT INVESTMENT RELATED, 405 W 148TH ST, NEW YORK, NY, 10031, EDUCATION AND NETWORKING, STARTED 09/2005, POSITION/TITLE/RELATIONSHIP: MEMBERSHIP CHAIR, APX 1 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS, MAINTAIN MEMBERSHIP LIST 5) NAME OF OTHER BUSINESS: WORLD INSURANCE ASSOCIATES, LLC; INVESTMENT RELATED: YES; ADDRESS: 656 SHREWSBURY AVE STE 200 TINTON FALLS NJ 07701; NATURE OF BUSINESS: FINANCIAL SERVICES AND INSURANCE; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DIRECT CONTACT WITH PERSONAL AND CORPORATE CLIENTS FOR FINANCIAL MATTERS;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Paul Margolin'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 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 323 West 39th St 11th Floor, New York, NY 10018RIA
CRD#: 105644
NEW YORK, NY
Current
February 28, 2020 - Present
CETERA ADVISORS LLC
Office #1: 1460 Broadway Ste 110 Office 9045-1, New York, NY 10036BD
CRD#: 10299
NEW YORK, NY
Past
February 28, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 22, 2014 - March 9, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
New York, NY
Past
March 23, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 23, 2004 - March 9, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
New York, NY
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
California(2/28/2020)
RR
Connecticut(2/28/2020)
RR
District of Columbia(2/28/2020)
RR
Florida(2/28/2020)
RR
Georgia(2/28/2020)
RR
Hawaii(2/28/2020)
RR
Idaho(2/28/2020)
RR
Illinois(2/28/2020)
RR
Indiana(2/28/2020)
RR
Maryland(2/28/2020)
RR
Massachusetts(2/28/2020)
RR
Minnesota(9/1/2022)
RR
Nevada(2/28/2020)
RR
New Jersey(2/28/2020)
RR
New York(2/28/2020)
IAR
New York(3/21/2024)
RR
Ohio(2/28/2020)
RR
Pennsylvania(2/28/2020)
RR
Texas(2/28/2020)
IAR
Texas(3/21/2024)
RR
Vermont(2/28/2020)
RR
Virginia(2/28/2020)
RR
Washington(3/10/2020)
RR
Wisconsin(2/28/2020)
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
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.
