Andrew H. Pritchard
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 Hamilton Pritchard, who also goes by Andy Pritchard, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 9 firms and has passed the Series 63, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2013 - September 26, 2014
SOURCE CAPITAL GROUP, INC.
January 23, 2012 - March 28, 2013
SARATOGA CAPITAL MARKETS
October 31, 2011 - December 19, 2011
WJB CAPITAL GROUP, INC.
August 2, 2010 - November 11, 2010
HAPOALIM SECURITIES USA, INC.
November 4, 2009 - February 12, 2010
CANACCORD GENUITY SECURITIES LLC
July 1, 1996 - May 5, 2009
CANTOR FITZGERALD & CO.
September 29, 1992 - July 10, 1996
GLOBAL MERCHANT GROUP, INC.
April 16, 1992 - May 27, 1992
BARCLAYS CAPITAL INC.
December 22, 1987 - March 30, 1992
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
Series 55
Date: 1/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
