Andrew K. Li
Professional summary
Andrew Kaicheung Li, who also goes by Andy Li, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Montery Park, California and CETERA WEALTH SERVICES, LLC located in Montery Park, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Andrew has worked at 6 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Kaicheung Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 16, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
September 5, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 12, 1994 - September 17, 2002
LIFEMARK SECURITIES CORP.
September 7, 1977 - April 5, 1994
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2021)
(6/29/2023)
(6/9/2021)
(6/9/2021)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/29/1977
Registered Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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