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JA

John M. Andrews

Some features on this profile are disabled
CRD#: 1717820
JA

Professional summary

John Michael Andrews was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, John had worked at 8 firms, which includes GUNNALLEN FINANCIAL INC, RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., HERITAGE FINANCIAL INVESTMENTS CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 27, 2008 - August 14, 2009

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
BETHESDA, MD
Past

February 21, 2008 - August 14, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BETHESDA, MD
Past

November 28, 2007 - January 15, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
BETHESDA, MD
Past

October 17, 2007 - January 15, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BETHESDA, MD
Past

April 2, 2007 - September 10, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BETHESDA, MD
Past

April 2, 2007 - September 10, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BETHESDA, MD
Past

June 4, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BETHESDA, MD
Past

June 4, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BETHESDA, MD
Past

January 1, 1994 - June 18, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BETHESDA, MD
Past

July 31, 1993 - June 18, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 18, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 7, 1988 - July 13, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 24, 1987 - January 30, 1988

HERITAGE FINANCIAL INVESTMENTS CORPORATION

BD
CRD#: 15767

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 2/14/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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