Andrea R. Elkin
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.
Andrea Robin Elkin was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1987. Andrea had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 23, Series 9, Series 10 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2011 - July 15, 2013
PERSHING LLC
June 17, 2005 - April 6, 2010
UBS FINANCIAL SERVICES INC.
July 13, 2004 - April 6, 2010
UBS FINANCIAL SERVICES INC.
December 5, 1992 - January 27, 1998
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1987 - November 17, 1992
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
Exams
What does exam status mean?
Series 9
Passed: 2/16/2005
Series 10
Passed: 2/8/2005
Series 8
Passed: 12/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
