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Andrew T. Doan
CETERA INVESTMENT ADVISERS LLC
LOUSIVILLE, KY 40223
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CRD#: 6493591
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Professional summary
Andrew Taylor Doan, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lousiville, Kentucky and CETERA ADVISORS LLC located in Lousiville, Kentucky.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 4 firms and has passed the Series 65, Series 63, 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.
1.) DAVIS FINANCIAL SERVICES, INC; INDEPENDENT CONTRACTOR; DBA; START DATE 05/18/2015; 160 HOURS PER MONTH. 2.) INSURANCE; AGENT; INSURANCE; START DATE 08/12/2015; 160 HOURS PER MONTH. 3.) DAVIS, MAYFIELD AND ASSOCIATES; DBA; FINANCIAL PLANNER; START DATE: 08/16/2017; 160 HOURS PER MONTH. 4.) DFS TAX LLC; VICE PRESIDENT; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE: 01/01/2020; 40 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Taylor Doan'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®
CFP®
Start date: 2017
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2011 Lake Point Way #101, Lousiville, KY 40223RIA
CRD#: 105644
LOUSIVILLE, KY
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 2011 Lake Point Way #101, Lousiville, KY 40223Office #2: 1728 Gagel Ave, Louisville, KY 40216BD
CRD#: 10299
LOUSIVILLE, KY
Past
August 25, 2015 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LOUISVILLE, KY
Past
June 26, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LOUSIVILLE, KY
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
Florida(9/8/2022)
RR
Indiana(9/8/2022)
IAR
Kentucky(11/12/2020)
RR
Kentucky(9/8/2022)
RR
Ohio(9/8/2022)
RR
South Carolina(3/4/2025)
RR
Texas(9/9/2024)
IAR
Texas(9/10/2024)
Exams
State Security Law Exam
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#: 105644Lousiville, KY 40223TRUST BUT VERIFY
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