DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Andrew Thomas Turcotte
Certified Financial Planner
Feed of 09/14/2026
Also filed as Andy Thomas Turcotte
At current firm
4 y
since Nov 11, 2021
In the industry
24 y
since Apr 23, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Principal Asset Management other currentsince Nov 11, 2021 · Des Moines, Ia
- Principal Securities, Inc. BD affiliatedOct 30, 2008 to Dec 10, 2010 · Des Moines, Ia
- LPL Financial LLC BD affiliatedNov 8, 2005 to Jul 24, 2008 · Morton, Il
- Principal Securities, Inc. BD affiliatedApr 20, 2005 to Jul 18, 2005 · Des Moines, Ia
- Ameriprise Financial Services, LLC national BDApr 24, 2002 to May 8, 2002 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- Principal Securities, Inc. to Principal Asset Managementleft Dec 10, 2010, registered Nov 11, 2021 (3989 days) · Other
- LPL Financial LLC to Principal Securities, Inc.left Jul 24, 2008, registered Oct 30, 2008 (98 days) · Other
- Principal Securities, Inc. to LPL Financial LLCleft Jul 18, 2005, registered Nov 8, 2005 (113 days) · Other
- Ameriprise Financial Services, LLC to Principal Securities, Inc.left May 8, 2002, registered Apr 20, 2005 (1078 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Other adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address