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

Andrew Aumann

Advisor at THE STRATEGIC FINANCIAL ALLIANCE

Stillwater, MN | ATLANTA, GA

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Search this name across graphsid dfx:ria:5bd20332-ac49-e1b5-f2e8-28dd8be31492

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 1, 2016 to Sep 15, 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: THE STRATEGIC FINANCIAL ALLIANCE
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: Feb 12, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 12, 2016
First registration: Apr 1, 2016
Dual registered: yes, broker-dealer
Other names: ANDREW AUMANN|ANDREW Ronald AUMANN|Aumann Andy
IAPD individual key: 6088841

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
THE STRATEGIC FINANCIAL ALLIANCE	Bd affiliated wealth	Apr 24, 2026	n/a	yes	Stillwater, MN\|ATLANTA, GA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 11, 2023	Apr 23, 2026	no	SAN DIEGO, CA\|STILLWATER, MN\|STILLWATER, MN	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jun 21, 2016	Aug 1, 2023	no	MINNEAPOLIS, MN	Previous registration
EDWARD JONES	National bd RIA	Apr 1, 2016	May 26, 2016	no	EAGAN, MN\|ST LOUIS, MO\|EAGAN, MN\|EAGAN, 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
LPL FINANCIAL LLC	THE STRATEGIC FINANCIAL ALLIANCE	Apr 23, 2026	Apr 24, 2026	1	Firm change	Ibd to ibd
THRIVENT INVESTMENT MANAGEMENT INC.	LPL FINANCIAL LLC	Aug 1, 2023	Aug 11, 2023	10	Firm change	Ibd to ibd
EDWARD JONES	THRIVENT INVESTMENT MANAGEMENT INC.	May 26, 2016	Jun 21, 2016	26	Firm change	Other

Relationships

Registered with (4)

→ THE STRATEGIC FINANCIAL ALLIANCERegistered adviserregistration: current employment
Apr 24, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 11, 2023 to Apr 23, 2026factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jun 21, 2016 to Aug 1, 2023factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 1, 2016 to May 26, 2016factForm ADV

Dated events

Occurred
Apr 23, 2026
Advisor changed firm
Andrew Aumann left Lpl Financial Llc for The Strategic Financial Alliance (registered 2026-04-24)
Form ADVobserved 5 days ago
Occurred
Aug 1, 2023
Advisor changed firm
Andrew Aumann left Thrivent Investment Management Inc. for Lpl Financial Llc (registered 2023-08-11)
Form ADVobserved 5 days ago