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Andrew J. Lupo

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CRD#: 1296320
AL

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 James Lupo was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 2, 2002 - January 3, 2023

UNICREDIT CAPITAL MARKETS LLC

BD
CRD#: 7789
NEW YORK, NY
Past

October 1, 1999 - August 30, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 17, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

November 11, 1997 - July 1, 1998

FIRST CLEARING, LLC

BD
CRD#: 17344
ST. LOUIS, MO
Past

October 4, 1996 - November 3, 1997

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

August 18, 1988 - September 19, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 10, 1988 - June 27, 1989

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
Past

November 21, 1984 - May 6, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 21, 1984 - October 25, 1984

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/3/1997
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/21/1989
Municipal Securities Principal Examination

Current Firm

UC
UNICREDIT CAPITAL MARKETS LLC
ASSOCIATED EUROPEAN CAPITAL CORPORATION | UNICREDIT CAPITAL MARKETS, INC | UNICREDIT CAPITAL MARKETS LLC | HYPOVEREINSBANK CAPITAL MARKETS | HVB CAPITAL MARKETS, INC. | CAIB SECURITIES NEW YORK | BV CAPITAL MARKETS, INC.

CRD#: 7789 / SEC#: , 8-23081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
15o East 42nd Street, New York, NY 10017-4679
Mailing Address
150 East 42nd Street, New York, NY 10017-4679
Phone number
(212) 672-5945
Established
New York since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UNICREDIT U.S. FINANCE LLCDIRECT OWNER
GLYNN, MICHAEL GERARDFINOP3219445
KOETHE, MARIO ARMIN MR.BOARD MEMBER7237856
MUELLER, PHILIPP JOCHENCHIEF COMPLIANCE OFFICER7549745
SAXENA, SUPRIYABOARD MEMBER7596034
STEFFENS, CHRISTIANBOARD MEMBER7898114
VALENTE, DOMINICK FRANKPRESIDENT5912165

Disclosures

Regulatory Event3

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

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

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