AM
Andrew J. Mahaven
CETERA INVESTMENT ADVISERS LLC
Jacksonville, FL 32256
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CRD#: 5429352
AM
Professional summary
Andrew James Mahaven is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jacksonville, Florida and CETERA WEALTH SERVICES, LLC located in Jacksonville, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. CROSSWATER CHRISTIAN ACADEMY POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2021 ADDRESS: 211 Davis Park Rd, Ponte Vedra FL 32081, United States DESCRIPTION: On the board as a voting member; 2. NAME OF OTHER BUSINESS: CHRIST GOT THIS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CHRISTIAN CLOTHING BRAND; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DESIGN AND SALES;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew James Mahaven'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
July 13, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10199 Southside Blvd Building One Suite 200, Jacksonville, FL 32256RIA
CRD#: 105644
Jacksonville, FL
Current
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10199 Southside Blvd, Builidng One Ste 200, Jacksonville, FL 32256BD
CRD#: 13572
Jacksonville, FL
Past
May 19, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Jacksonville, FL
Past
May 18, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Jacksonville, FL
Past
June 8, 2016 - April 28, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Jacksonville, FL
Past
May 16, 2013 - April 28, 2017
BBVA SECURITIES INC.
BD
CRD#: 27060
JACKSONVILLE, FL
Past
February 21, 2008 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
JACKSONVILLE, 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
Florida(6/29/2023)
IAR
Florida(7/13/2023)
RR
Georgia(8/10/2023)
RR
Pennsylvania(8/10/2023)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Jacksonville, FL 32256TRUST BUT VERIFY
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