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Andrew Schroeder
Andrew David Schroeder
CRD#: 7294432
IA
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CETERA INVESTMENT ADVISERS LLCCRD#: 105644 971 N PERRY ST
OTTAWA, OH 45875
OTTAWA, OH 45875
CETERA ADVISOR NETWORKS LLCCRD#: 13572 971 N PERRY ST
OTTAWA, OH 45875
OTTAWA, OH 45875
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Disclosures
4
Years of Experience
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State Registrations
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Ohio 10/9/2024
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Ohio 10/9/2024
SRO Registrations
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Registered with this firm since 10/9/2024
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Registered with this firm since 10/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/14/2023 - 07/29/2024 | COLUMBUS, OH | |
IA | 01/12/2021 - 03/03/2023 | COLUMBUS, OH | |
B | 01/12/2021 - 03/03/2023 | COLUMBUS, OH | |
IA | 12/17/2020 - 01/13/2021 | COLUMBUS, OH | |
B | 10/23/2020 - 01/13/2021 | COLUMBUS, OH |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.