Arthur N. Andrews
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.
Arthur Neil Andrews was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1988. Arthur had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55 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
March 21, 2016 - December 27, 2016
DAVID LERNER ASSOCIATES, INC.
July 17, 1998 - January 31, 2002
ICAPITAL MARKETS LLC
January 14, 1997 - January 29, 1998
MAY, DAVIS GROUP INC.
June 22, 1995 - March 4, 1996
H.J. MEYERS & CO., INC.
February 3, 1995 - June 29, 1995
COMMONWEALTH ASSOCIATES
September 15, 1993 - February 8, 1995
BERKELEY SECURITIES CORPORATION
February 4, 1992 - September 9, 1993
J. GREGORY & COMPANY, INC.
August 8, 1991 - February 18, 1992
USLIFE EQUITY SALES CORP.
September 19, 1989 - January 10, 1991
MORGAN STANLEY DW INC.
September 29, 1988 - September 29, 1988
CIBC WORLD MARKETS CORP.
September 29, 1988 - March 27, 1989
J. W. GANT & ASSOCIATES, INC.
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: 3/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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