Andrew D. Schaeffer
Professional summary
Andrew David Schaeffer is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1988. Andrew has worked at 15 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew David Schaeffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2023 - Present
ING FINANCIAL MARKETS LLC
Office #1: 1133 Avenue Of The Americas, New York, NY 10036July 24, 2014 - March 22, 2022
LLOYDS SECURITIES
October 3, 2011 - July 17, 2014
NATIXIS SECURITIES AMERICAS LLC
August 22, 2011 - October 3, 2011
NATIXIS SECURITIES NORTH AMERICA INC.
May 18, 2007 - April 13, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
July 11, 2005 - May 21, 2007
BNY CAPITAL MARKETS INC.
February 20, 2001 - February 17, 2005
BARCLAYS CAPITAL INC.
November 3, 2000 - March 2, 2001
PERSHING LLC
October 16, 2000 - January 31, 2001
CREDIT SUISSE SECURITIES (USA) LLC
March 6, 1998 - October 16, 2000
PERSHING LLC
February 11, 1996 - March 23, 1998
DEUTSCHE BANK SECURITIES INC.
April 19, 1995 - December 18, 1995
UBS SECURITIES LLC
July 23, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 23, 1993 - March 16, 1995
LEHMAN GOVERNMENT SECURITIES INC.
July 23, 1993 - March 16, 1995
LEHMAN BROTHERS INC.
May 4, 1988 - November 30, 1989
PRUDENTIAL EQUITY GROUP, 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
(3/21/2023)
(3/21/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
ING FINANCIAL MARKETS LLC
CRD#: 28872 / SEC#: , 8-43978
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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