Andrew G. Costa
Professional summary
Andrew Grigsby Costa was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Andrew had worked at 12 firms, which includes COSTA FINANCIAL SECURITIES INC., WALL STREET FINANCIAL GROUP INC., COSTA FINANCIAL GROUP INC., SECURITIES SERVICE NETWORK LLC, SECURITIES AMERICA INC., VANGUARD CAPITAL, INVESTACORP INC., CIBC WORLD MARKETS CORP., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2003 - March 4, 2008
COSTA FINANCIAL SECURITIES, INC.
May 13, 1999 - March 13, 2002
WALL STREET FINANCIAL GROUP, INC.
October 13, 1995 - March 25, 2008
COSTA FINANCIAL GROUP, INC.
May 5, 1994 - March 12, 1999
SECURITIES SERVICE NETWORK, LLC
August 25, 1992 - March 28, 1994
SECURITIES AMERICA, INC.
February 3, 1992 - August 5, 1992
VANGUARD CAPITAL
May 31, 1991 - January 29, 1992
INVESTACORP, INC.
May 25, 1990 - June 13, 1991
CIBC WORLD MARKETS CORP.
September 15, 1989 - May 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1989 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
May 14, 1988 - March 16, 1989
LEHMAN BROTHERS INC.
December 23, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COSTA FINANCIAL SECURITIES, INC.
CRD#: 45039 / SEC#: , 8-50937
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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