Andrew A. Sunkin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Alan Sunkin was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - September 14, 2010
FIRST MIDWEST SECURITIES, INC.
January 4, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
January 31, 2005 - December 31, 2005
GUNNALLEN FINANCIAL, INC
November 20, 2002 - February 8, 2005
LADENBURG THALMANN & CO. INC.
January 28, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
April 30, 2001 - January 28, 2002
CARLIN EQUITIES, LLC
March 29, 1995 - April 24, 2001
GRUNTAL & CO., L.L.C.
May 6, 1993 - March 22, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1988 - May 14, 1993
LEHMAN BROTHERS INC.
August 19, 1987 - February 4, 1988
APPLE FINANCIAL CORPORATION
October 13, 1986 - July 28, 1987
MURIEL SIEBERT & CO., LLC
April 18, 1985 - October 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 23, 1984 - December 26, 1984
TRIPP & CO., INC.
March 1, 1984 - February 28, 1990
E. G. FRANCES CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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