Andrew Sontag has been Chief Investment Officer/Chief Compliance Officer of Carlsbad Wealth Advisory Group since February 2008, is a control person of the firm and directly owns between 50% and 75% of it.
Carlsbad Wealth Advisory Group, Inc. is a Carlsbad, CA firm with $238M under management, 248 clients and 3 advisers in one office, as of its August 2026 filing.
Andrew Sontag’s longest registration is the current one, 18 years at Carlsbad Wealth Advisory Group since 2008. Before joining Carlsbad Wealth Advisory Group in 2008, Andrew Sontag was registered through Ameriprise Financial Services, Inc.
- – present · 18 yearsCarlsbad, CA · Adviser representative · Firm CRD 146587
- Ameriprise Financial Services, Inc.– · 2 yearsSan Diego, CA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Andrew Sontag is registered as an investment adviser representative in 2 states. The first approvals date from March 2008; the most recent is Texas, in April 2026.
- CaliforniaSince 26 March 2008
- TexasSince 30 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 2 March 2006 |
| Series 7 | General Securities Representative Examination | 16 February 2006 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Phillip Sontag
- CRD
- 4685106
- Firm
- Carlsbad Wealth Advisory Group · CRD 146587
- Role
- Chief Investment Officer/Chief Compliance Officer
- Office
- 2011 PALOMAR AIRPORT RD STE 101, Carlsbad, CA 92011
- Registration
- Investment adviser registration
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Andrew Sontag work?
Andrew Sontag has been Chief Investment Officer/Chief Compliance Officer of Carlsbad Wealth Advisory Group, Inc. since February 2008, and is a control person of the firm.
Is Andrew Sontag a financial advisor?
Yes. Andrew Sontag has a current investment-adviser registration in California and Texas, through Carlsbad Wealth Advisory Group since March 2008.
How many years of experience does Andrew Sontag have?
Andrew Sontag has 20 years in the financial industry, since March 2006, across 2 adviser firms.
What exams has Andrew Sontag passed?
Andrew Sontag has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in February 2006.
Where is Andrew Sontag based?
Andrew Sontag’s registered office is in Carlsbad, CA.
Is Andrew Sontag registered with FINRA?
No. Andrew Sontag has no current broker registration.
How can I verify Andrew Sontag’s record?
Search CRD 4685106 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Sontag’s full registration record.