Andrew A. Davis
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 Allan Davis was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1990. Andrew had worked at 2 firms and has passed the Series 63, 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
September 28, 1993 - July 22, 2005
ROCK ISLAND SECURITIES, INC.
November 28, 1990 - November 18, 1991
SANWA SECURITIES (USA) CO., L.P.
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
ROCK ISLAND SECURITIES, INC.
CRD#: 30782 / SEC#: , 8-43872
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ROCK ISLAND COMPANY | STOCKHOLDER | |
| DAVIS, ANDREW ALLAN | PRESIDENT | 1744454 |
| DAVIS, ANDREW ALLAN | CHIEF EXECUTIVE OFFICER | 1744454 |
| DAVIS, ANDREW ALLAN | CHIEF OPERATING OFFICER | |
| DAVIS, ANDREW ALLAN | CHAIRMAN | 1744454 |
| KOLE, ROBYN ELLEN | SALES SUPERVISOR | 2049986 |
| KOLE, ROBYN ELLEN | CHIEF FINANCIAL OFFICER | 2049986 |
| KOLE, ROBYN ELLEN | CHIEF COMPLIANCE OFFICER | 2049986 |
Disclosures
| Regulatory Event | 3 |
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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