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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

ANDY W SAEGER

Advisor at LPL FINANCIAL LLC

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:8d16f5e4-d0d8-6c36-7d64-d8ab8c84fdb4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 6, 2006 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: Jul 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 10, 2002
First registration: Oct 6, 2006
Dual registered: yes, broker-dealer
Other names: ANDY WALDEMAR SAEGER
IAPD individual key: 4542749

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	Mar 24, 2021	n/a	yes	MILWAUKEE, WI	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Apr 25, 2019	Mar 24, 2021	no	Milwaukee, WI	Previous registration
ELLENBECKER INVESTMENT GROUP	Independent wealth	Nov 21, 2018	Apr 15, 2019	no	WAUKESHA, WI	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 6, 2006	Nov 12, 2018	no	Naperville, IL\|Brookfield, WI	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
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
ELLENBECKER INVESTMENT GROUP	BMO HARRIS FINANCIAL ADVISORS, INC	Apr 15, 2019	Apr 25, 2019	10	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	ELLENBECKER INVESTMENT GROUP	Nov 12, 2018	Nov 21, 2018	9	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 24, 2021 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Apr 25, 2019 to Mar 24, 2021factForm ADV
→ ELLENBECKER INVESTMENT GROUPRegistered adviserregistration: previous registration
Nov 21, 2018 to Apr 15, 2019factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 6, 2006 to Nov 12, 2018factForm ADV

Dated events

No dated event names this entity yet.