Andrew J. Szabo
Professional summary
Andrew John Szabo, who also goes by Andrew J Szabo, Andrew John Szabo, Andrew Szabo, Andy Szabo, is a registered financial advisor currently at EXEMPLAR CAPITAL, LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1984. Andrew has worked at 15 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew John Szabo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2019 - Present
EXEMPLAR CAPITAL, LLC
Office #1: 211 East 43rd Street 7th Floor, New York, NY 10017December 11, 2020 - May 23, 2022
APEX FINTECH BROKERAGE SERVICES
April 6, 2017 - August 26, 2019
VENTURE.CO BROKERAGE SERVICES LLC
May 18, 2011 - December 31, 2011
CHOICE ADVISORY GROUP, INC.
March 30, 2011 - December 31, 2011
CHOICE INVESTMENTS, INC.
April 19, 2010 - February 26, 2011
GREENWICH FINANCIAL MANAGEMENT INC.
March 2, 2010 - March 17, 2011
CHOICE ADVISORY GROUP, INC.
December 8, 2009 - December 31, 2010
CHOICE INVESTMENTS, INC.
February 27, 2009 - March 10, 2009
CENTAURUS FINANCIAL, INC.
February 27, 2009 - March 10, 2009
CENTAURUS FINANCIAL, INC.
November 14, 2007 - October 17, 2008
CHARLES VISTA LLC
March 24, 2005 - November 23, 2005
PURSHE KAPLAN STERLING INVESTMENTS
September 17, 2004 - December 16, 2004
BCP SECURITIES, INC.
April 15, 2003 - December 31, 2009
GREENWICH FINANCIAL MANAGEMENT, INC.
February 10, 2003 - September 15, 2004
PURSHE KAPLAN STERLING INVESTMENTS
February 12, 2002 - January 30, 2003
UBS FINANCIAL SERVICES INC.
June 11, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 30, 1995 - April 20, 1999
UBS SECURITIES LLC
June 19, 1985 - January 19, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 25, 1984 - September 5, 1990
LEHMAN BROTHERS 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
(12/19/2022)
(12/19/2022)
(11/15/2019)
(12/20/2022)
(12/21/2022)
(1/20/2023)
(12/19/2022)
(11/18/2019)
(12/22/2022)
(12/19/2022)
(12/19/2022)
(8/13/2024)
(12/17/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
EXEMPLAR CAPITAL, LLC
CRD#: 155786 / SEC#: , 8-68740
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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