Andrew D. Strauss
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 Dennis Strauss, who also goes by Andy Dennis Strauss, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 3, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2021 - August 10, 2023
REGAL SECURITIES, INC.
March 29, 2018 - October 14, 2020
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 29, 2017 - February 27, 2018
CG CAPITAL MARKETS, LLC
August 18, 2014 - July 7, 2017
OMEGA POINT SECURITIES LLC
January 31, 2014 - August 4, 2014
COHEN & COMPANY SECURITIES, LLC
August 5, 2013 - January 31, 2014
JVB FINANCIAL GROUP, LLC
January 9, 2012 - May 28, 2013
SIP NORDIC AMERICA LLC
September 3, 2009 - September 29, 2010
MORGAN STANLEY
September 3, 2009 - September 29, 2010
MORGAN STANLEY
March 30, 2005 - December 1, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 28, 2005 - December 1, 2008
ALLIANCEBERNSTEIN L.P.
July 8, 2002 - February 2, 2005
BLACKROCK INVESTMENTS, LLC
May 1, 2000 - June 3, 2002
EPLANNING SECURITIES, INC.
April 30, 1997 - March 1, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 30, 1995 - December 6, 1996
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 18, 1986 - May 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
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
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
