Andrew J. Provencher
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 John Provencher, CFA, who also goes by Andrew J Provencher, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 6 firms and has passed the Series 65, Series 63, SIE, 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 3, 2024 - October 15, 2025
SEAPORT GLOBAL SECURITIES LLC
April 9, 2018 - February 14, 2023
BNY MELLON SECURITIES CORPORATION
April 6, 2016 - April 9, 2018
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 10, 2013 - October 19, 2015
BNY MELLON SECURITIES CORPORATION
October 13, 2000 - June 17, 2011
NEUBERGER BERMAN MANAGEMENT LLC
September 1, 1993 - June 17, 2011
NEUBERGER BERMAN BD LLC
June 24, 1993 - June 17, 2011
NEUBERGER BERMAN BD LLC
December 20, 1988 - July 22, 1993
DIAMANT INVESTMENT CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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