Mandy J. Hoeschen

CETERA INVESTMENT ADVISERS LLC

PAPILLION, NE 68046

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CRD#: 5475462

Professional summary

Mandy Jo Hoeschen, who also goes by Mandy Jo Ecis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Papillion, Nebraska and CETERA WEALTH SERVICES, LLC located in Iowa Falls, Nebraska.

Mandy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mandy has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mandy Jo Ecis

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: PINEVIEW BRIDGE CAPITAL, LLC INVESTMENT RELATED: NO ADDRESS: PAPILLION, NE NATURE OF BUSINESS: LLC OPENED FOR ESTABLISHING RENTAL PROPERTY & HOLDING START DATE: 06/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ESTABLISHING RENTAL PROPERTY & HOLDING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mandy Jo Hoeschen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 26, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 816 Pineview Dr, Papillion, NE 68046

RIA

CRD#: 105644

PAPILLION, NE

Current

July 26, 2024 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

IOWA FALLS, NE

Past

January 18, 2024 - July 15, 2024

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

PAPILLION, NE

Past

January 16, 2024 - July 15, 2024

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

LOUISVILLE, KY

Past

December 2, 2022 - January 12, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OMAHA, NE

Past

November 22, 2022 - January 8, 2024

CWM, LLC

RIA

CRD#: 155344

Omaha, NE

Past

June 21, 2022 - September 7, 2022

GROVE POINT ADVISORS, LLC

RIA

CRD#: 313171

Papillion, NE

Past

June 21, 2022 - September 7, 2022

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

April 13, 2017 - June 6, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

La Vista, NE

Past

November 15, 2016 - June 6, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 18, 2008 - November 7, 2016

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Massachusetts
(8/22/2024)

Nebraska
(7/26/2024)

IAR

Nebraska
(7/26/2024)

New York
(8/22/2024)

North Dakota
(8/22/2024)

Ohio
(8/22/2024)

Texas
(8/22/2024)

IAR

Texas
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/19/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/17/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Mandy J. Hoeschen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mandy Jo Hoeschen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CWM, LLC

GROVE POINT ADVISORS, LLC

GROVE POINT INVESTMENTS, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2017

Series 63

Date: 7/28/2008

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2008

Series 53

Date: 10/19/2017

Series 4

Date: 9/17/2014

Series 24

Date: 6/5/2014

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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