AP
Andrew C. Parrott
CETERA INVESTMENT ADVISERS LLC
WALNUT CREEK, CA 94596-8820
Some features on this profile are disabled
CRD#: 6615461
AP
Professional summary
Andrew Clifford Squire Parrott, who also goes by Andrew Parrott, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA WEALTH SERVICES, LLC located in Walnut Creek, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Andrew has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Parrott
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) NAME OF OTHER BUSINESS: LAMORINDA RUGBY FOOTBALL CLUB; INVESTMENT RELATED: NO; ADDRESS: P O BOX 1908 LAFAYETTE CA 94549; NATURE OF BUSINESS: RUGBY CLUB; START DATE: 7/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: LEADING MEETINGS, DECISION MAKING REGARDING CLUB OPERATIONS; 2. NAME OF OTHER BUSINESS: LAFAYETTE WATER POLO FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: P.O.BOX 1791, LAFAYETTE, CA 94549; NATURE OF BUSINESS: BOARD; START DATE: 5/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TAKING MINUTES AT BOARD MEETINGS; (2) NAME OF OTHER BUSINESS: CLIFFORD SQUARE WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Clifford Squire Parrott'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1600 S Main St Ste 202, Walnut Creek, CA 94596-8820RIA
CRD#: 105644
WALNUT CREEK, CA
Current
January 8, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WALNUT CREEK, CA
Past
January 8, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WALNUT CREEK, CA
Past
June 10, 2016 - January 11, 2021
EDWARD JONES
RIA
CRD#: 250
WALNUT CREEK, CA
Past
March 31, 2016 - January 11, 2021
EDWARD JONES
BD
CRD#: 250
WALNUT CREEK, CA
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
California(1/8/2021)
IAR
California(6/29/2023)
RR
Colorado(10/11/2022)
RR
Idaho(2/6/2025)
RR
Indiana(3/13/2024)
RR
Nevada(1/8/2021)
RR
New Mexico(1/8/2021)
RR
Oregon(1/8/2021)
RR
South Dakota(8/25/2025)
RR
Texas(3/13/2024)
IAR
Texas(3/13/2024)
RR
Virginia(3/13/2024)
RR
Washington(5/26/2021)
RR
Wisconsin(2/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Walnut Creek, CA 94596-8820TRUST BUT VERIFY
Monitor Andrew Parrott
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
