DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

ANDREW COREY FASS

Advisor at CETERA INVESTMENT ADVISERS LLC

SHINGLE SPRINGS, CA | CARMICHAEL, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:762cc6fc-a56f-a6aa-8899-250e8716f2aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 13, 2003 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: Mar 11, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 11, 1987
First registration: May 13, 2003
Dual registered: yes, broker-dealer
Other names: ANDREW COREY FASS|ANDREW FASS|ANDY FASS
IAPD individual key: 1623264

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	Sep 5, 2025	n/a	yes	CARMICHAEL, CA\|SHINGLE SPRINGS, CA	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Feb 2, 2022	Sep 5, 2025	no	GOLD RIVER, CA\|Carmichael, CA\|Shingle Springs, CA	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 7, 2015	Mar 2, 2022	no	DALLAS, TX\|Roseville, CA	Previous registration
BEVERLY HILLS WEALTH MANAGEMENT, LLC	Former SEC adviser	Aug 13, 2012	Jan 19, 2016	no	BEVERLY HILLS, CA	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Jul 3, 2008	Jul 20, 2012	no	GRASS VALLEY, CA\|SACRAMENTO, CA\|ROSEVILLE, CA\|PHOENIX, AZ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 12, 2007	Jun 12, 2008	no	ROSEVILLE, CA\|ROSEVILLE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2003	Oct 16, 2007	no	FOLSOM, CA\|ROSEVILLE, CA\|ROSEVILLE, CA\|FOLSOM, CA	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
HILLTOP SECURITIES INC.	AVANTAX ADVISORY SERVICES	Mar 2, 2022	Feb 2, 2022	-28	Firm change	Ibd to ibd
BEVERLY HILLS WEALTH MANAGEMENT, LLC	HILLTOP SECURITIES INC.	Jan 19, 2016	Dec 7, 2015	-43	Firm change after gap	Other
ROBERT W. BAIRD & CO. INCORPORATED	BEVERLY HILLS WEALTH MANAGEMENT, LLC	Jul 20, 2012	Aug 13, 2012	24	Firm change	Other
MORGAN STANLEY & CO. LLC	ROBERT W. BAIRD & CO. INCORPORATED	Jun 12, 2008	Jul 3, 2008	21	Firm change	Other
WELLS FARGO ADVISORS	MORGAN STANLEY & CO. LLC	Oct 16, 2007	Oct 12, 2007	-4	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
152031:6220:CA:2016-01-19	Jan 19, 2016	Dec 7, 2015	BEVERLY HILLS, CA	Firm change after gap

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 2, 2022 to Sep 5, 2025factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 7, 2015 to Mar 2, 2022factForm ADV
→ BEVERLY HILLS WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 13, 2012 to Jan 19, 2016factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Jul 3, 2008 to Jul 20, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 12, 2007 to Jun 12, 2008factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2003 to Oct 16, 2007factForm ADV

Dated events

Occurred
Mar 2, 2022
Advisor changed firm
Andrew Corey Fass left Hilltop Securities Inc. for Avantax Advisory Services (registered 2022-02-02)
Form ADVobserved 4 days ago