AM
Andrew M. Mccay
CETERA INVESTMENT ADVISERS LLC
Auburn, AL
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CRD#: 4995571
AM
Professional summary
Andrew Michael Mccay, who also goes by Andrew M Mccay, Andrew M. Mccay, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Auburn, Alabama and CETERA ADVISORS LLC located in Auburn, Alabama.
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 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew M Mccay | Andrew M. Mccay
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: 04/2022, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, FIXED ANNUITIES AND LONG-TERM CARE 2) NAME OF OTHER BUSINESS: TOTUS WEALTH MANAGEMENT, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3)NAME OF OTHER BUSINESS: KODIAK WEALTH, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 3/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: GIG WORKER SOLUTIONS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED ADDRESS, NATURE OF BUSINESS: PAYROLL AND BENEFITS, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REFER SELF-EMPLOYED CLIENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Michael Mccay'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
RIA
CRD#: 105644
Auburn, AL
Current
April 4, 2022 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Auburn, AL
Past
April 4, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Auburn, AL
Past
July 22, 2016 - April 6, 2022
MORGAN STANLEY
RIA
CRD#: 149777
OPELIKA, AL
Past
July 22, 2016 - April 6, 2022
MORGAN STANLEY
BD
CRD#: 149777
OPELIKA, AL
Past
May 16, 2013 - July 25, 2016
BBVA SECURITIES INC.
BD
CRD#: 27060
AUBURN, AL
Past
August 23, 2012 - July 25, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
AUBURN, AL
Past
May 8, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
AUBURN, AL
Past
June 4, 2008 - September 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BESSEMER, AL
Past
February 7, 2008 - September 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BESSEMER, AL
Past
May 26, 2006 - January 30, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BIRMINGHAM, AL
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
Alabama(4/4/2022)
IAR
Alabama(3/21/2024)
RR
Georgia(4/4/2022)
RR
Texas(4/4/2022)
IAR
Texas(3/21/2024)
RR
Virginia(4/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
