Andrew H. Feinman
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 Howard Feinman, who also goes by Andy Feinman, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
May 22, 2009 - May 16, 2017
IAM CAPITAL CORPORATION
October 17, 2006 - March 3, 2008
JANNEY MONTGOMERY SCOTT LLC
October 13, 2006 - March 3, 2008
JANNEY MONTGOMERY SCOTT LLC
October 14, 1998 - December 31, 2005
FA ASSET MANAGEMENT INC.
February 10, 1997 - October 18, 2006
GLEACHER & COMPANY SECURITIES, INC.
June 3, 1994 - April 15, 1996
NATIXIS SECURITIES AMERICAS LLC
September 3, 1991 - May 2, 1994
GLEACHER & COMPANY SECURITIES, INC.
May 1, 1990 - September 10, 1991
LADENBURG THALMANN & CO. INC.
November 1, 1984 - May 3, 1990
BREAN MURRAY & 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
IAM CAPITAL CORPORATION
CRD#: 45034 / SEC#: , 8-50930
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRIDIAN ASSET MANAGEMENT LLC | SHAREHOLDER | |
| RAKER, TODD DUNKIN | CCO AND CEO | 2651603 |
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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