AL
Andrew C. Lerda-plog
PINNACLE ADVISORS
Sarasota, FL 34233
Some features on this profile are disabled
CRD#: 5998143
AL
Professional summary
Andrew Charles Lerda-plog, who also goes by Andrew Lerda-plog, is a registered financial advisor currently at PINNACLE ADVISORS located in Sarasota, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Andrew has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Lerda-Plog
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. 11/10/2022 - National Bank of Arizona Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 2. 11/10/2022 - Zions Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 3. 11/10/2022 - California Bank and Trust Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 4. 11/10/2022 - Vectra Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 200 Hours Per Month/175 Hours During Securities Trading. 5. 11/10/2022 - Nevada State Bank Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 6. 11/10/2022 - Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/07/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 7. 3/29/2023 - Wealth Select Team at Zions Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 8. 3/29/2023 - Wealth Select Team at CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 9. 3/29/2023 - Wealth Select Team at Vectra Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 10. 3/29/2023 - Wealth Select Team at NSB Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 11. 3/29/2023 - Wealth Select Team at Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 12. 3/29/2023 - Wealth Select Team at NBAZ Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Charles Lerda-plog'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
November 26, 2024 - Present
PINNACLE ADVISORS
Office #1: 5602 Marquesas Circle, Suite 207, Sarasota, FL 34233RIA
CRD#: 106817
Sarasota, FL
Past
September 9, 2021 - March 25, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
August 31, 2021 - March 25, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
October 23, 2017 - August 4, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOULDER, CO
Past
July 27, 2017 - August 4, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
BOULDER, CO
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".
PA
PINNACLE ADVISORS
LIFETIME PLANNING PINNACLE ADVISORS, INC. | PPCS FINANCIAL PLANNING SERVICES | PINNACLE WEALTH PLANNING SERVICES, INC. | PINNACLE RETIREMENT PLAN SERVICES | PINNACLE INVESTORS ADVISORY CORP | PINNACLE FIDUCIARY CONSULTING GROUP | PINNACLE FAMILY OFFICE | PINNACLE ADVISORS
CRD#: 106817 / SEC#: 801-51715
RIA
Registered Investment Advisory firm - (5/30/1996 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.Highlighted states indicate IAR registrations
IAR
Florida(11/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PA
PINNACLE ADVISORS
LIFETIME PLANNING PINNACLE ADVISORS, INC. | PPCS FINANCIAL PLANNING SERVICES | PINNACLE WEALTH PLANNING SERVICES, INC. | PINNACLE RETIREMENT PLAN SERVICES | PINNACLE INVESTORS ADVISORY CORP | PINNACLE FIDUCIARY CONSULTING GROUP | PINNACLE FAMILY OFFICE | PINNACLE ADVISORS
CRD#: 106817 / SEC#: 801-51715
RIA
Registered Investment Advisory firm - (5/30/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6 West 3rd St. Ste 100, Mansfield, OH 44902
Mailing Address
Phone number
(419) 526-5226
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,513 |
| AUM (Assets Under Management) | $ 1,939,495,799 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 12/22/2022 |
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.
