Andrew A. Waggoner

CORE PLANNING

Quincy, IL

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CRD#: 6371759

Professional summary

Andrew Alan Waggoner, CFP®, who also goes by Andrew A Waggoner, Andrew Waggoner, is a registered financial advisor currently at CORE PLANNING located in Quincy, Illinois.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew A Waggoner | Andrew Waggoner

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Alan Waggoner's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

March 17, 2026 - Present

CORE PLANNING

RIA

CRD#: 154660

Quincy, IL

Past

March 18, 2025 - March 21, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

Quincy, IL

Past

March 11, 2025 - March 21, 2026

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 13, 2024 - January 10, 2025

AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852

OKLAHOMA CITY, OK

Past

November 6, 2023 - May 8, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Ewa Beach, HI

Past

November 2, 2023 - May 8, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Ewa Beach, HI

Past

July 22, 2021 - November 2, 2023

BATES FINANCIAL ADVISORS, INC.

RIA

CRD#: 116515

QUINCY, IL

Past

July 22, 2021 - November 2, 2023

BATES SECURITIES, INC.

CRD#: 10759

QUINCY, IL

Past

August 14, 2020 - July 16, 2021

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

August 6, 2020 - July 16, 2021

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

May 16, 2017 - December 31, 2017

BATES FINANCIAL ADVISORS, INC.

RIA

CRD#: 116515

Quincy, IL

Past

May 4, 2017 - September 5, 2019

BATES SECURITIES, INC.

CRD#: 10759

QUINCY, IL

Past

November 12, 2015 - February 17, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

QUINCY, IL

Past

September 23, 2015 - February 17, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

QUINCY, IL

Past

January 23, 2015 - September 14, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

QUINCY, IL

Past

October 9, 2014 - September 14, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

QUINCY, IL

Past

August 27, 2014 - October 22, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

QUINCY, IL

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".

CORE PLANNING

CRD#: 154660 / SEC#: 801-131950

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

California

Registered Investment Advisory firm - (5/9/2025 Terminated)

Illinois

Registered Investment Advisory firm - (4/9/2025 Terminated)

Missouri

Registered Investment Advisory firm - (4/9/2025 Terminated)

Oregon

Registered Investment Advisory firm - (4/9/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/9/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(3/17/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/13/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/2014

General Securities Representative Examination

Current Firm

CORE PLANNING

CRD#: 154660 / SEC#: 801-131950

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

California

Registered Investment Advisory firm - (5/9/2025 Terminated)

Illinois

Registered Investment Advisory firm - (4/9/2025 Terminated)

Missouri

Registered Investment Advisory firm - (4/9/2025 Terminated)

Oregon

Registered Investment Advisory firm - (4/9/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/9/2025 Terminated)

PREMIUM

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Contact information

Main Address

706 N Main St, Ofallon, MO 63366

Mailing Address

Phone number

(636) 734-7507

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - BROCHURE (3/26/2025)

ADV PART 2B - STUART PETTY (3/26/2025)

ADV PART 2B - JASMINE LAMBERT (3/26/2025)

ADV PART 2B - LEI DENG (3/26/2025)

ADV PART 2B - EMILY SCOTT (3/26/2025)

ADV PART 2B - GUY PENN (3/26/2025)

ADV PART 2B - STAN J KOVARIK (3/26/2025)

ADV PART 2B - SUZANNE HIGHET (3/26/2025)

ADV PART 2B - JARED HAMANN (3/26/2025)

ADV PART 2B - PATRICK M RITTER (3/26/2025)

ADV PART 2B - PATRICK MCANDREW (3/26/2025)

ADV PART 2B - TANNER MILLAR (3/26/2025)

ADV PART 2B - AUSTIN ENGLAND (3/26/2025)

ADV PART 2B - LEON REN (3/26/2025)

ADV PART 2B - DANIEL HINE (3/26/2025)

ADV PART 2B - DANNY HOWARD (3/26/2025)

ADV PART 2B - DAWN ABERNATHY (3/26/2025)

ADV PART 2B - JIMMY RAY (3/26/2025)

ADV PART 2B - JON PETERSEN (3/26/2025)

ADV PART 2B - ANDREW SCHEFFER (3/26/2025)

ADV PART 2B - ANDREW MORAN (3/26/2025)

ADV PART 2B - EUSEVIUS HOWARD (3/26/2025)

ADV PART 2B - ELIZABETH RISHEL (3/26/2025)

ADV PART 2B - JUSTIN PULLARO (3/26/2025)

ADV PART 2B - ADAM HAYNES (3/26/2025)

ADV PART 2B - CHRISTOPHER MILLER (3/26/2025)

ADV PART 2B - REBECCA LEES (3/26/2025)

ADV2B MADELINE MCIVOR 20250109 (3/26/2025)

ADV PART 2B - KORINNE SUGASAWARA (3/26/2025)

ADV PART 2B - JORDAN GILBERTI (3/26/2025)

ADV PART 2B - KEENAN CASEY (3/26/2025)

ADV PART 2B - JOEL MILLER (3/26/2025)

ADV PART 2B - FRANK VESTAL (3/26/2025)

ADV PART 2B - CHRISTOPHER JACKSON (3/26/2025)

ADV PART 2B - CHRISTOPHER JORDAN TAYLOR (3/26/2025)

ADV PART 2B - ROGER TRAN (3/26/2025)

ADV PART 2B - JASON FEDAK (3/26/2025)

Regulatory assets under management

Total Number of Accounts	884
AUM (Assets Under Management)	$ 121,451,500

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.

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Advisor Monitoring

Firm Stability Insights

Andrew A. Waggoner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Alan Waggoner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORE PLANNING

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERICAN FIDELITY SECURITIES, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

BATES FINANCIAL ADVISORS, INC.

BATES SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

BATES FINANCIAL ADVISORS, INC.

BATES SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CORE PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2020

SIE

Date: 10/1/2018

Series 7

Date: 8/27/2014

Current Firm

CORE PLANNING

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE PLANNING

TRUST BUT VERIFY

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