AK
Andrew J. Kieffer
CETERA INVESTMENT ADVISERS LLC
WINONA, MN 55987
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CRD#: 6129631
AK
Professional summary
Andrew Joseph Kieffer, who also goes by Andy Joseph Kieffer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winona, Minnesota and CETERA INVESTMENT SERVICES LLC located in Winona, Minnesota.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Joseph Kieffer
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.) WNB FINANCIAL, BANK REFERRAL PROGRAM 2.) FINANCE COMMITTEE FOR THE DIOCESE OF ROCHESTER-WINONA PRIEST PENSION FUND, REVIEWS REPORTS FROM INVESTMENT MANAGER ON THE INVESTMENTS, ALLOCATIONS AND PERFORMANCE, DOES NOT PLACE OR HANDLE SECURITIES TRANSACTIONS NOR RECOMMEND SPECIFIC SECURITIES TRANSACTIONS NOR MAKE INVESTMENT DECISIONS, LESS THAN 1/HR/WK; 3.) SIT ON BOARD OF DIRECTORS FOR COTTER SCHOOLS AND SERVE ON THE OPERATIONAL VITALITY COMMITTEE; 1 HR/WK
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Kieffer'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
April 14, 2016 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 204 Main Street, Winona, MN 55987RIA
CRD#: 105644
WINONA, MN
Current
April 14, 2016 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 204 Main Street, Winona, MN 55987Office #2: 1506 Cole Ct, Holmen, WI 54636BD
CRD#: 15340
Winona, MN
Past
May 14, 2013 - April 20, 2016
WADDELL & REED
RIA
CRD#: 866
ROCHESTER, MN
Past
December 17, 2012 - April 20, 2016
WADDELL & REED
BD
CRD#: 866
ROCHESTER, MN
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(8/9/2017)
RR
California(2/9/2018)
RR
Colorado(1/24/2022)
RR
Florida(5/29/2018)
RR
Hawaii(8/15/2016)
RR
Iowa(2/8/2021)
RR
Kentucky(7/11/2019)
RR
Minnesota(4/14/2016)
IAR
Minnesota(4/14/2016)
RR
New York(8/9/2017)
RR
North Dakota(5/25/2018)
RR
South Dakota(8/7/2019)
RR
Texas(7/27/2016)
IAR
Texas(4/22/2022)
RR
Wisconsin(4/14/2016)
Exams
State Security Law Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Winona, MN 55987TRUST BUT VERIFY
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