AS
Andrew L. Sorum
CETERA INVESTMENT ADVISERS LLC
PELICAN RAPIDS, MN 56572
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CRD#: 6300898
AS
Professional summary
Andrew Lee Sorum is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pelican Rapids, Minnesota and CETERA INVESTMENT SERVICES LLC located in Pelican Rapids, Minnesota.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. 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
None
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.
2.) INCOME TAX PREPARATION FOR FAMILY MEMBERS ONLY (2BROTHERS). 3.) ROTARY CLUB OF PELICAN RAPIDS, 2HRS WK/0 COMP NON-PROFIT, A COUPLE CLIENTS ARE ALSO INVOLVED IN CLUB. DOES NOT INVOLVE ANY INVESTMENTS, HELPS WITH COMMUNITY EVENTS. 4.) MEMBER OF ECONOMIC DEVELOPMENT CORPORATION; HELPING WITH ECONOMIC DEVELOPMENT IN PELICAN RAPIDS AND BRINGING NEW BUSINESS TO THE CITY 5.) BUSINESS AND AG LENDER AT MINNESOTA NATIONAL BANK 6.) NOTARY AT MINNESOTA NATIONAL BANK OF BANK DOCUMENTS ONLY. 7.) BOARD MEMBER & TREASURER FOR UNITED WAY OF OTTER TAIL AND WADENA COUNTIES, MONITOR PERFORMANCE OF THE UNITED WAY, REVIEW MONTHLY/ANNUAL REPORTS, DOES NOT HAVE ACCESS TO BANK ACCOUNTS NOR A SIGNOR, 1/2/HR/WK; 8.) BOARDMEMBER OF PELICAN RAPIDS SCHOOL BOARD; OVERSEE POLICY FOR THE SCHOOL, SUPERINTENDENT AND THE SCHOOL FINANCES; .25 HRS/WK
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Lee Sorum'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 25, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1001 South Broadway, Pelican Rapids, MN 56572RIA
CRD#: 105644
PELICAN RAPIDS, MN
Current
March 20, 2014 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1001 South Broadway, Pelican Rapids, MN 56572BD
CRD#: 15340
Pelican Rapids, 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(4/7/2015)
RR
Florida(12/20/2021)
RR
Minnesota(4/25/2014)
IAR
Minnesota(4/25/2014)
RR
North Dakota(7/21/2014)
RR
Virginia(11/16/2022)
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#: 105644Pelican Rapids, MN 56572TRUST BUT VERIFY
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