AG
Andrew P. Goetz
CETERA INVESTMENT ADVISERS LLC
BALTIMORE, MD 21237
Some features on this profile are disabled
CRD#: 5612164
AG
Professional summary
Andrew Paul Goetz, who also goes by Andy Goetz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baltimore, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Andrew has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Goetz
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: 05/2023; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: WHITESTONE REALTY, LLC; INVESTMENT RELATED: NO; ADDRESS: 2009 MYRTLEWOOD ROAD, BALTIMORE, MD 21209; NATURE OF BUSINESS: REAL ESTATE RENTAL / SINGLE COMMERCIAL WAREHOUSE BUILDING; START DATE: 05/2004; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE, JUST RECEIVING INCOME; 3. NAME OF OTHER BUSINESS: LTC SPECIALISTS, LLC; INVESTMENT RELATED: NO; ADDRESS: 2009 MYRTLEWOOD ROAD, BALTIMORE, MD 21209; NATURE OF BUSINESS: FIXED INSURANCE PRODUCTS / MARKETING, BRANDING; START DATE: 06/2019; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: SELL FIXED INSURANCE PRODUCTS; 4. NAME OF OTHER BUSINESS PREMIER PLANNING GROUP, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SALES; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: INDEPENDENT AGENT; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: SELLS INSURANCE, LIFE, DISABILITY, LONG-TERM CARE AND OTHER FIXED INSURANCE RELATED PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Paul Goetz'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8216 Philadelphia Rd, Baltimore, MD 21237Office #2: 101 Annapolis Street, Annapolis, MD 21401RIA
CRD#: 105644
BALTIMORE, MD
Current
March 29, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401BD
CRD#: 13572
ANNAPOLIS, MD
Past
March 30, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BALTIMORE, MD
Past
March 13, 2018 - March 31, 2021
OSAIC FA, INC.
RIA
CRD#: 3978
Baltimore, MD
Past
March 13, 2018 - March 31, 2021
OSAIC FA, INC.
BD
CRD#: 3978
Baltimore, MD
Past
March 30, 2015 - December 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Columbia, MD
Past
March 30, 2015 - December 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Columbia, MD
Past
April 14, 2009 - March 31, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALTIMORE, MD
Past
January 7, 2009 - March 31, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALTIMORE, MD
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
California(9/10/2024)
RR
Delaware(8/28/2024)
RR
District of Columbia(11/30/2023)
RR
Florida(11/29/2023)
RR
Georgia(3/21/2025)
RR
Maryland(3/30/2023)
IAR
Maryland(6/29/2023)
RR
Mississippi(5/8/2024)
RR
New Jersey(11/14/2023)
RR
North Carolina(10/16/2023)
RR
Oregon(3/7/2025)
RR
Pennsylvania(2/10/2025)
RR
South Carolina(10/10/2024)
RR
Tennessee(9/8/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(2/19/2025)
RR
West Virginia(10/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationGeneral 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.
