Andrew Weinstein
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 Weinstein, CFP®, who also goes by Andy Weinstein, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2018 - July 31, 2025
PURSHE KAPLAN STERLING INVESTMENTS
November 9, 2009 - September 20, 2018
SUMMIT FINANCIAL RESOURCES INC
November 9, 2009 - September 21, 2018
SUMMIT EQUITIES, INC.
August 1, 2006 - January 9, 2009
SUMMIT FINANCIAL RESOURCES INC
August 1, 2006 - January 9, 2009
SUMMIT EQUITIES, INC.
October 1, 2003 - November 2, 2005
MORGAN STANLEY DW INC.
August 27, 2003 - November 2, 2005
MORGAN STANLEY DW INC.
December 12, 2002 - August 28, 2003
QUEST CAPITAL STRATEGIES, INC.
June 13, 2000 - December 31, 2000
CADARET, GRANT & CO., INC.
March 11, 1998 - April 5, 2000
UBS FINANCIAL SERVICES INC.
February 17, 1998 - March 11, 1998
UBS FINANCIAL SERVICES INC.
May 23, 1989 - February 18, 1998
CETERA WEALTH SERVICES, LLC
April 25, 1988 - May 23, 1989
PENNSYLVANIA SECURITIES COMPANY
October 20, 1987 - March 8, 1988
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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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