Andrew John Mongeon

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 09/2024
  Principal Life Insurance Company
  Bismarck, ND
• 03/2016 → 09/2024
  Principal Securities Inc
  Bismark, ND
• 09/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-09-02 → 2024-09-20
  Principal Securities, Inc.
  Bismarck, ND
  Sioux Falls, SD
  Bismarck, ND
  Bismarck, ND
• 2005-12-13 → 2014-08-11
  Msi Financial Services, Inc.
  Minnetonka, MN
  Bismarck, ND
  Springfield, MA
  Springfield, MA
  Minnetonka, MN
• 2004-03-30 → 2005-12-31
  Metlife Investment Fund Services Llc
  Alpharetta, GA

Other Businesses

1. NAME OF OTHER BUSINESS: LUX WEATLH ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams

• S66 Uniform Combined State Law Examination
  2000-06-22