Andrew M. Akers
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 M Akers was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 5 firms and has passed the Series 63 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
November 3, 2010 - November 29, 2012
NEWOAK CAPITAL MARKETS LLC
June 18, 2009 - November 3, 2010
NEWOAK CAPITAL MARKETS LLC
August 5, 2008 - February 11, 2009
COHEN & COMPANY SECURITIES, LLC
April 5, 2000 - October 23, 2001
CREDIT SUISSE SECURITIES (USA) LLC
September 11, 1993 - February 26, 1997
BARCLAYS CAPITAL INC.
December 5, 1988 - April 29, 1993
CITICORP SECURITIES, 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
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
