Andrew F. Saksa
Professional summary
Andrew Francis Saksa was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Andrew had worked at 14 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., JOSEPH CHARLES & ASSOC. INC., HD BROUS & CO. INC., BERRY-SHINO SECURITIES INC., FIRST MONTAUK SECURITIES CORP., FOX & COMPANY INVESTMENTS INC., GAINEY FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., MASON HUNT & CO. INC., MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2000 - December 21, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 6, 1999 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
May 19, 1998 - July 14, 1999
HD BROUS & CO., INC.
October 14, 1996 - March 23, 1998
BERRY-SHINO SECURITIES, INC.
August 3, 1995 - October 1, 1996
FIRST MONTAUK SECURITIES CORP.
September 7, 1994 - August 1, 1995
FOX & COMPANY INVESTMENTS INC.
May 21, 1993 - August 19, 1994
GAINEY FINANCIAL SERVICES, INC.
September 3, 1991 - June 10, 1993
WELLS FARGO CLEARING SERVICES, LLC
December 14, 1990 - September 13, 1991
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 19, 1989 - June 21, 1990
MASON, HUNT & CO., INC.
July 24, 1989 - November 25, 1989
MORGAN STANLEY DW INC.
February 15, 1988 - August 21, 1989
LEHMAN BROTHERS INC.
July 20, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 25, 1987 - July 23, 1987
BLINDER, ROBINSON & 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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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