Carl H. Tiedemann

ANDES CAPITAL GROUP

Los Angeles, CA 90036

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CRD#: 1162026

Professional summary

Carl Hans Tiedemann III, who also goes by Carl Hans Tiedeman III, Hans Tiedeman, Carl Hans Tiedemann, Hans Tiedemann, Hans Tiedmann III, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Los Angeles, California.

Carl is registered as a RR (Registered Representative) and started their career in finance in 1985. Carl has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carl Hans Tiedeman Iii | Hans Tiedeman | Carl Hans Tiedemann | Hans Tiedemann | Hans Tiedmann Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carl Hans Tiedemann III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 22, 2021 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 5200 Wilshire Blvd. Suite 560, Los Angeles, CA 90036

CRD#: 139212

Los Angeles, CA

Past

June 1, 2007 - July 8, 2011

TRIPLE A PARTNERS LLC

CRD#: 142790

SANTA MONICA, CA

Past

March 4, 2005 - September 1, 2006

CF GLOBAL TRADING, LLC

CRD#: 104245

NORWALK, CT

Past

February 27, 1990 - May 1, 2001

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

May 13, 1988 - December 31, 1988

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 18, 1986 - July 16, 1988

JAMES CAPEL INCORPORATED

CRD#: 15390

Past

July 31, 1985 - February 18, 1986

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/23/2021)

Exams

State Security Law Exam

Series 63

Date: 10/10/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/26/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/19/2021

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

205 West Wacker Drive Suite 610, Chicago, IL 60606

Mailing Address

205 West Wacker Drive Suite 610, Chicago, IL 60606

Phone number

(312) 376-4500

Established

Illinois since 08/03/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
POOLE, SEAN WILLIAM	MEMBER	7010269
MCGAUGH, RAYMOND SCOTT	MEMBER	2649886
SPEARS, CURTIS LAVELL	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER	4117812
LENART, BRIAN DOUGLAS	FINOP, CFO, PFO/POO	736107
PEARLMAN, CRAIG ALAN	PRINCIPAL	4456956

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Carl H. Tiedemann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carl Hans Tiedemann III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIPLE A PARTNERS LLC

CF GLOBAL TRADING, LLC

E*TRADE CLEARING LLC

MORGAN STANLEY & CO. LLC

JAMES CAPEL INCORPORATED

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/2021

Series 66

Date: 9/26/2006

Series 7TO

Date: 11/19/2021

Series 7

Date: 7/20/1985

Series 24

Date: 9/9/2007

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ANDES CAPITAL GROUP, LLC

TRUST BUT VERIFY

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