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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

ANDREW JEFFREY SOUTHWORTH

Advisor at CETERA INVESTMENT ADVISERS LLC

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:5d0dc450-fb0f-d884-5c56-3cf211e181ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2005 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: CETERA INVESTMENT ADVISERS 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: Aug 11, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 11, 1999
First registration: Jul 19, 2005
Dual registered: yes, broker-dealer
Other names: ANDY JEFFREY SOUTHWORTH
IAPD individual key: 2764040

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 20, 2025	n/a	yes	LOUISVILLE, KY	Current employment
THURSTON SPRINGER ADVISORS	Bd affiliated wealth	Nov 25, 2020	Nov 19, 2025	no	INDIANAPOLIS, IN\|Louisville, KY	Previous registration
THURSTON SPRINGER FINANCIAL	Former SEC adviser	Oct 15, 2018	Jul 29, 2021	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|LOUISVILLE, KY\|INDIANAPOLIS, IN\|Crestwood, KY	Previous registration
KPP ADVISORY SERVICES LLC	Independent wealth	Oct 5, 2017	Oct 18, 2018	no	LOUISVILLE, KY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 6, 2006	Mar 1, 2018	no	LOUISVILLE, KY\|FORT MILL, SC\|LOUISVILLE, KY	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Jul 19, 2005	Dec 12, 2006	no	LOUISVILLE, KY\|LOUISVILLE, KY	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
THURSTON SPRINGER ADVISORS	CETERA INVESTMENT ADVISERS LLC	Nov 19, 2025	Nov 20, 2025	1	Firm change	Ibd to ibd
THURSTON SPRINGER FINANCIAL	THURSTON SPRINGER ADVISORS	Jul 29, 2021	Nov 25, 2020	-246	Firm change after gap	Ibd to ibd
KPP ADVISORY SERVICES LLC	THURSTON SPRINGER FINANCIAL	Oct 18, 2018	Oct 15, 2018	-3	Firm change	RIA to ibd
LPL FINANCIAL LLC	KPP ADVISORY SERVICES LLC	Mar 1, 2018	Oct 5, 2017	-147	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	LPL FINANCIAL LLC	Dec 12, 2006	Dec 6, 2006	-6	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 20, 2025 to presentfactForm ADV
→ THURSTON SPRINGER ADVISORSRegistered adviserregistration: previous registration
Nov 25, 2020 to Nov 19, 2025factForm ADV
→ THURSTON SPRINGER FINANCIALRegistered adviserregistration: previous registration
Oct 15, 2018 to Jul 29, 2021factForm ADV
→ KPP ADVISORY SERVICES LLCRegistered adviserregistration: previous registration
Oct 5, 2017 to Oct 18, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 6, 2006 to Mar 1, 2018factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 19, 2005 to Dec 12, 2006factForm ADV

Dated events

Occurred
Nov 19, 2025
Advisor changed firm
Andrew Jeffrey Southworth left Thurston Springer Advisors for Cetera Investment Advisers Llc (registered 2025-11-20)
Form ADVobserved 5 days ago