WA
William J. Andersen
CETERA INVESTMENT ADVISERS LLC
COMMACK, NY 11725
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CRD#: 5444763
WA
Professional summary
William J Andersen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Commack, New York and CETERA FINANCIAL SPECIALISTS LLC located in Commack, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. William has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) PROFESSIONAL TAX SAVERS/SUFFOLK SERVICE BUREAU), INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PERSONAL INCOME TAX PREPARATION AND DBA FOR INVESTMENT BUSINESS, 3H/WEEK AT 25% OF TIME, 75% OF TIME FOR DBA/INVESTMENT BUSINESS, SINCE 10/2007 2) HOFFMAN & BENTOVIM, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, INDEPENDENT CONTRACTOR, TAX RETURN PREPARATION, 2H/WEEK, SINCE 10/2007.
CRS (Client Relationship Summary) - RIA
Click below to view William J Andersen'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
October 19, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6500 Jericho Turnpike Ste 206, Commack, NY 11725RIA
CRD#: 105644
COMMACK, NY
Current
October 19, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 6500 Jericho Turnpike Ste 206, Commack, NY 11725BD
CRD#: 10358
Commack, NY
Past
August 3, 2021 - November 3, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
COMMACK, NY
Past
February 14, 2018 - November 3, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
COMMACK, NY
Past
September 3, 2008 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
COMMACK, 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
Arizona(2/8/2023)
RR
California(10/19/2022)
RR
Delaware(10/19/2022)
RR
District of Columbia(4/3/2024)
RR
Florida(10/19/2022)
RR
Georgia(1/6/2025)
RR
Indiana(4/3/2024)
RR
Maine(10/19/2022)
RR
Maryland(10/19/2022)
RR
Massachusetts(10/19/2022)
RR
New Hampshire(10/19/2022)
RR
New Jersey(10/19/2022)
RR
New York(10/19/2022)
IAR
New York(10/19/2022)
RR
North Carolina(10/26/2022)
RR
Ohio(1/24/2025)
RR
Pennsylvania(10/9/2023)
RR
South Carolina(10/19/2022)
RR
Vermont(10/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Commack, NY 11725TRUST BUT VERIFY
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