AL
Andrew C. Lord
ESSENTIAL PLANNING
Portsmouth, NH 03801
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CRD#: 1289303
AL
Professional summary
Andrew Charles Lord, who also goes by Andrew C Lord, Andy Lord, is a registered financial advisor currently at ESSENTIAL PLANNING, LLC located in Portsmouth, New Hampshire and VALMARK SECURITIES, INC. located in Portsmouth, New Hampshire.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Andrew has worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew C Lord | Andy Lord
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.
1) Valmark Securities, Inc. Investment Related. 130 Springside Dr. Akron, OH 44333. Financial Planning, Registered Representative. Start 06/15/2020. 35hrs/mo, 30hrs/mo during trading hours. Registered representative that works for a brokerage company and serves as a representative for clients trading investment products such as stocks, bonds, and annuities./// 2) DANIEL PINKHAM HOUSE, LLC; NON-INVESTMENT RELATED; PROPERTY OWNER/OPERATOR; COMMERCIAL REAL ESTATE; 400 THE HILL UNIT II, PORTSMOUTH, NH 03801; INCOME $36,000 from K-1 Net Profits; START DATE 10/2012; 1HR/MONTH./// 3) CHAMPERNOWNE REALTY, LLC; 500 MARKET ST, PORTSMOUTH, NH 03801; NON-INVESTMENT RELATED; COMMERCIAL REAL ESTATE; OWNER/OPERATOR; INCOME $48,000 from K-1 profits; START DATE 1/2008; 1HR/MONTH./// 4) Champernowne Realty II; 500 Market St Unit 1D Portsmouth, NH 03801 start 01/2025; owner commercial real estate condo; operate and lease to planning shop; 100% ownership via LLC; investment related; 1-5 hours/ month ; payment is rent./// 5) FIXED INSURANCE SALES; 500 MARKET ST, PORTSMOUTH, NH 03801; NON-INVESTMENT RELATED; INSURANCE AGENT/REPRESENTATIVE; INCOME $25,000; START DATE 07/1994; 15 HRS/MONTH; 10 TRADING HRS/MONTH, Compensated by Commissions.///
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Charles Lord's 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®
NoneExperience
Current
August 6, 2002 - Present
ESSENTIAL PLANNING, LLC
Office #1: 500 Market Street Suite 1d, Portsmouth, NH 03801RIA
CRD#: 106651
Portsmouth, NH
Current
June 15, 2020 - Present
VALMARK SECURITIES, INC.
Office #1: 500 Market Street, Unit 1d, Portsmouth, NH 03801Office #2: 64 Center Street, Wolfeboro, NH 03894BD
CRD#: 31243
Portsmouth, NH
Past
August 24, 2016 - June 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Portsmouth, NH
Past
July 14, 2014 - August 30, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
PORTSMOUTH, NH
Past
June 3, 2014 - August 30, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
PORTSMOUTH, NH
Past
May 30, 2014 - June 3, 2014
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
PORTSMOUTH, NH
Past
August 7, 2006 - May 30, 2014
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
PORTSMOUTH, NH
Past
September 18, 1995 - February 3, 1997
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
April 28, 1994 - December 6, 1995
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
February 7, 1994 - September 14, 1995
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
July 16, 1993 - March 18, 1994
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
March 19, 1992 - December 10, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
August 28, 1984 - March 11, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 28, 1984 - March 11, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EP
ESSENTIAL PLANNING, LLC
ESSENTIAL PLANNING, LLC | LORD ANDREW CHARLES | LORD ANDREW & CO
CRD#: 106651 / SEC#: 801-51363
RIA
Registered Investment Advisory firm - (3/15/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(8/20/2020)
RR
California(6/15/2020)
RR
Florida(6/16/2020)
IAR
Florida(8/18/2020)
RR
Georgia(6/30/2023)
RR
Maine(6/16/2020)
IAR
Maine(7/15/2020)
IAR
Massachusetts(8/7/2002)
RR
Massachusetts(8/21/2023)
IAR
New Hampshire(8/6/2002)
RR
New Hampshire(7/23/2020)
RR
New York(9/28/2020)
RR
North Carolina(7/24/2020)
RR
Ohio(6/15/2020)
RR
South Carolina(8/4/2020)
IAR
Texas(9/30/2019)
RR
Vermont(6/30/2023)
RR
Virginia(7/28/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EP
ESSENTIAL PLANNING, LLC
ESSENTIAL PLANNING, LLC | LORD ANDREW CHARLES | LORD ANDREW & CO
CRD#: 106651 / SEC#: 801-51363
RIA
Registered Investment Advisory firm - (3/15/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Market Street, Unit 1d, Portsmouth, NH 03801
Mailing Address
Phone number
(603) 427-5164
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,995 |
| AUM (Assets Under Management) | $ 439,657,003 |
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.
Company Information
ESSENTIAL PLANNING, LLC
CRD#: 106651Portsmouth, NH 03801TRUST BUT VERIFY
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