AC
Andrew D. Casertano
CETERA INVESTMENT ADVISERS LLC
Seaford, DE
Some features on this profile are disabled
CRD#: 6231737
AC
Professional summary
Andrew D Casertano, who also goes by Andrew D Casertano, Drew D Casertano, Drew Casertano, Andrew Casertano, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Seaford, Delaware and CETERA WEALTH SERVICES, LLC located in Cockeysville, Maryland.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew D Casertano | Drew D Casertano | Drew Casertano | Andrew Casertano
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. SECURIAN CAPITAL OF THE CHESAPEAKE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 09/13/2021 ADDRESS: 600 Washington Ave, 1st Floor, Towson MD 21030, United States DESCRIPTION: Selling fixed insurance; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2012; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: KINNECT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND ISURANCE SERVICES; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew D Casertano'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 9710 Monroe St, Cockeysville, MD 21030RIA
CRD#: 105644
Seaford, DE
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9710 Monroe St, Cockeysville, MD 21030BD
CRD#: 13572
Cockeysville, MD
Past
November 5, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Towson, MD
Past
September 28, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Towson, MD
Past
August 28, 2019 - November 4, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BETHESDA, MD
Past
January 29, 2016 - March 24, 2017
PFS INVESTMENTS INC.
BD
CRD#: 10111
GAITHERSBURG, MD
Past
January 8, 2015 - December 31, 2015
PFS INVESTMENTS INC.
BD
CRD#: 10111
GAITHERSBURG, MD
Past
September 24, 2014 - December 31, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
GAITHERSBURG, MD
Past
October 10, 2013 - March 14, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
GAITHERSBURG, 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
Delaware(8/14/2024)
IAR
Delaware(8/19/2024)
RR
Georgia(6/23/2025)
RR
Maryland(8/10/2023)
IAR
Maryland(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Virginia(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/28/2019
Investment Company Products/Variable Contracts 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
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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.
