DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ANDREW JACOB GARDNER

Advisor at CETERA INVESTMENT ADVISERS LLC

CHESTER, CT | CROMWELL, CT

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:a9635155-7776-08e4-9149-79843effd8db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 23, 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: 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: Jul 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 24, 2006
First registration: Aug 23, 2006
Dual registered: yes, broker-dealer
Other names: ANDREW GARDNER
IAPD individual key: 5159660

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	Jun 29, 2023	n/a	yes	CROMWELL, CT\|CHESTER, CT	Current employment
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jul 22, 2013	Oct 17, 2014	no	NEW HAVEN, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 30, 2012	May 28, 2013	no	NEW HAVEN, CT\|HAMDEN, CT\|EAST HAVEN, CT\|NEW HAVEN, CT\|NEW HAVEN, CT	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Dec 3, 2010	Nov 2, 2012	no	Hamden, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 23, 2006	Dec 3, 2010	no	ROCKY HILL, CT\|SHELTON, CT\|GLASTONBURY, CT	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
PARK AVENUE SECURITIES LLC	CETERA INVESTMENT ADVISERS LLC	Oct 17, 2014	Jun 29, 2023	3,177	Firm change after gap	Other
LPL FINANCIAL LLC	PARK AVENUE SECURITIES LLC	May 28, 2013	Jul 22, 2013	55	Firm change	Other
MML INVESTORS SERVICES, LLC	LPL FINANCIAL LLC	Nov 2, 2012	Oct 30, 2012	-3	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Dec 3, 2010	Dec 3, 2010	0	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Jul 22, 2013 to Oct 17, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 30, 2012 to May 28, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Dec 3, 2010 to Nov 2, 2012factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 23, 2006 to Dec 3, 2010factForm ADV

Dated events

No dated event names this entity yet.