Andrew W. Wunsch
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 Wayne Wunsch was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2012 - December 31, 2023
SOUTH COUNTY FINANCIAL ADVISORS, LLC
October 2, 2008 - January 3, 2012
INVESTORS CAPITAL CORP.
October 2, 2008 - January 3, 2012
INVESTORS CAPITAL CORP.
May 11, 2006 - October 3, 2008
JANNEY MONTGOMERY SCOTT LLC
May 3, 2006 - October 3, 2008
JANNEY MONTGOMERY SCOTT LLC
March 8, 2006 - May 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - May 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2005 - March 8, 2006
ADVEST, INC.
September 5, 2000 - March 8, 2006
ADVEST, INC.
May 6, 1994 - September 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 5, 1990 - May 11, 1994
TUCKER ANTHONY INCORPORATED
February 15, 1988 - November 20, 1990
LEHMAN BROTHERS INC.
August 27, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
November 5, 1986 - August 20, 1987
MOSELEY SECURITIES CORPORATION
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
Series 8
Date: 11/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOUTH COUNTY FINANCIAL ADVISORS, LLC
CRD#: 160300 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 3,241,558 |
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.
