AP
Andrew S. Pincus
CETERA INVESTMENT ADVISERS LLC
Boca Raton, FL 33432
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CRD#: 4847752
AP
Professional summary
Andrew Scott Pincus, CFP®, who also goes by Andrew S Pincus, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in Myrtle Beach, South Carolina.
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 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew S Pincus
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: REGAL WEALTH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIA SERVICES START DATE: 11/2004 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: MANAGE THE BUSINESS AND THE ENTIRE FINANCIAL PLANNING PRACTICE. INCLUDES FORWARD FACING CLIENT INTERACTION AND RUNNING BUSINESS OPERATIONS. 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2007; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Scott Pincus'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®
Experience
Current
February 19, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1200 N Federal Hwy, Suite 200, Boca Raton, FL 33432Office #2: 39 Nearing Road, Winhall, VT 05340Office #3: 9776 Kings Road, Suite B, Myrtle Beach, SC 29572RIA
CRD#: 105644
Boca Raton, FL
Current
February 15, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9776 Kings Road, Suite B, Myrtle Beach, SC 29572Office #2: 1200 N Federal Highway, Boca Raton, FL 33432BD
CRD#: 13572
Myrtle Beach, SC
Past
January 7, 2019 - February 21, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOCA RATON, FL
Past
January 4, 2019 - February 21, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
BOCA RATON, FL
Past
April 20, 2016 - January 17, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CORAL SPRINGS, FL
Past
October 5, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BOCA RATON, FL
Past
September 15, 2004 - January 17, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BOCA RATON, FL
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(2/28/2024)
RR
California(2/16/2024)
RR
Colorado(3/14/2024)
RR
Connecticut(2/15/2024)
RR
District of Columbia(2/21/2024)
RR
Florida(2/16/2024)
IAR
Florida(2/19/2024)
RR
Georgia(2/19/2024)
RR
Illinois(12/26/2024)
RR
Indiana(3/6/2024)
RR
Maryland(2/20/2024)
RR
Massachusetts(3/25/2024)
RR
Michigan(3/4/2024)
RR
New Jersey(2/16/2024)
RR
New York(2/22/2024)
RR
North Carolina(2/27/2024)
RR
Pennsylvania(2/16/2024)
RR
South Carolina(2/22/2024)
RR
Tennessee(2/20/2024)
RR
Texas(3/21/2025)
IAR
Texas(3/21/2025)
RR
Vermont(2/16/2024)
IAR
Vermont(11/21/2024)
RR
Virginia(2/16/2024)
RR
Washington(2/21/2024)
RR
West Virginia(2/21/2024)
RR
Wyoming(2/26/2024)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Boca Raton, FL 33432TRUST BUT VERIFY
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