Steven L. 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.
Steven Lyle Andrews, who also goes by Stevie Andrews, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 7 firms and has passed the Series 63, Series 79TO, 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
July 9, 2024 - December 16, 2025
CASTLEOAK SECURITIES, LP
November 5, 2019 - March 25, 2024
RBC CAPITAL MARKETS, LLC
November 28, 1997 - November 12, 2019
CITIGROUP GLOBAL MARKETS INC.
July 6, 1995 - September 1, 1998
SALOMON BROTHERS INC.
April 26, 1991 - April 11, 1994
CIBC WORLD MARKETS CORP.
May 16, 1989 - May 2, 1991
UBS FINANCIAL SERVICES INC.
July 18, 1988 - May 1, 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 79TO
Date: 10/6/2021
Investment Banking Registered Representative ExaminationCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
