AC
Andrew J. Costanzo
CETERA INVESTMENT ADVISERS LLC
CARLSBAD, CA
Some features on this profile are disabled
CRD#: 54857
AC
Professional summary
Andrew John Costanzo, who also goes by Andrew John Costanzo Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carlsbad, California and CETERA ADVISORS LLC located in Wexford, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Andrew has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew John Costanzo Jr
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: COSTANZO FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS BUSINESS ADDRESS NATURE OF BUSINESS: SECURITIES AND FIXED INSURANCE START DATE: 09/23/2009 APX NUMBER OF HOURS PER WEEK: 40+ APX NUMBER OF HOURS DURING TRADING HOURS: 40+ BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS (2) COSTANZO FINANCIAL GROUP, START 09/23/09, DBA NAME (3) NAME OF OTHER BUSINESS: COSTANZO CONSULTING LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 48; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, CLIENT REVIEWS AND ONBOARDING NEW CLIENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew John Costanzo'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
Office #2: 180 Swinderman Road Suite 340, Wexford, PA 15090RIA
CRD#: 105644
CARLSBAD, CA
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 180 Swinderman Road Suite 340, Wexford, PA 15090BD
CRD#: 10299
Wexford, PA
Past
March 22, 2006 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
PITTSBURGH, PA
Past
February 4, 2002 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
October 15, 1993 - January 14, 2005
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
January 23, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
January 23, 1990 - February 5, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 15, 1989 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
October 1, 1971 - September 28, 1989
WASHINGTON NATIONAL EQUITY COMPANY
BD
CRD#: 4242
EVANSTON, IL
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(9/18/2018)
RR
Arizona(9/21/2009)
RR
California(10/5/2007)
IAR
California(3/21/2024)
RR
Colorado(1/1/2004)
RR
Connecticut(4/28/2021)
RR
Delaware(7/18/2017)
RR
Florida(1/1/2004)
RR
Georgia(10/15/2014)
RR
Indiana(5/13/2021)
RR
Kansas(11/26/2012)
RR
Kentucky(4/30/2021)
RR
Maryland(3/25/2015)
RR
Massachusetts(10/13/2011)
RR
Michigan(5/17/2021)
RR
Minnesota(8/8/2019)
RR
Nevada(9/2/2004)
RR
New Jersey(5/20/2014)
RR
New York(7/29/2011)
RR
North Carolina(1/1/2004)
RR
Ohio(2/3/2010)
RR
Pennsylvania(1/1/2004)
IAR
Pennsylvania(3/21/2024)
RR
South Carolina(1/1/2004)
RR
Tennessee(1/10/2022)
RR
Texas(6/17/2016)
IAR
Texas(3/21/2024)
RR
Virginia(1/1/2004)
RR
West Virginia(1/1/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/27/1971
Registered Representative ExaminationPrincipal/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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
