Andrew C. Dewey
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 Charles Dewey, who also goes by Andy Dewey, Drew Dewey, was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1984. Andrew had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2010 - December 31, 2012
MALT CAPITAL, LLC
January 1, 2008 - July 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - July 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 20, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
April 18, 1991 - May 13, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1985 - April 25, 1991
CIBC WORLD MARKETS CORP.
July 26, 1984 - February 20, 1985
MORGAN STANLEY DW 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
MALT CAPITAL, LLC
CRD#: 154563 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
