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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

ANDREW KOETTER

Advisor at LPL FINANCIAL LLC

SAUK RAPIDS, MN | LITTLE FALLS, MN

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Search this name across graphsid dfx:ria:2d93f93c-a9d0-6ae6-0931-da5dbcd438c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 5, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 30, 2018
First registration: Sep 5, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 6890052

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 15, 2024	n/a	yes	LITTLE FALLS, MN\|SAUK RAPIDS, MN	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 23, 2021	Aug 24, 2021	no	LITTLE FALLS, MN\|SAUK RAPIDS, MN	Previous registration
FOCUS FINANCIAL	Independent wealth	Feb 16, 2021	May 2, 2024	no	MINNEAPOLIS, MN	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 18, 2020	Jan 19, 2021	no	St. Cloud, MN	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Oct 2, 2019	Apr 21, 2020	no	ST CLOUD, MN	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 5, 2018	Aug 19, 2019	no	ST. LOUIS PARK, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FOCUS FINANCIAL	OSAIC WEALTH, INC.	May 2, 2024	Aug 23, 2021	-983	Firm change after gap	RIA to ibd
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Aug 24, 2021	Apr 15, 2024	965	Firm change after gap	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	FOCUS FINANCIAL	Jan 19, 2021	Feb 16, 2021	28	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Apr 21, 2020	Jun 18, 2020	58	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	CETERA ADVISOR NETWORKS LLC	Aug 19, 2019	Oct 2, 2019	44	Firm change	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
116140:23131:MN:2024-05-02	May 2, 2024	Aug 23, 2021	MINNEAPOLIS, MN	Firm change after gap
13572:105644:MN:2020-04-21	Apr 21, 2020	Jun 18, 2020	ST CLOUD, MN	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 15, 2024 to presentfactForm ADV
→ FOCUS FINANCIALRegistered adviserregistration: previous registration
Feb 16, 2021 to May 2, 2024factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Aug 23, 2021 to Aug 24, 2021factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 18, 2020 to Jan 19, 2021factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Oct 2, 2019 to Apr 21, 2020factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 5, 2018 to Aug 19, 2019factForm ADV

Dated events

Occurred
May 2, 2024
Advisor changed firm
Andrew Koetter left Focus Financial for Osaic Wealth, Inc. (registered 2021-08-23)
Form ADVobserved 5 days ago