Steven L. Andrews

CASTLEOAK SECURITIES, LP

NEW YORK, NY 10281

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CRD#: 1833361

Professional summary

Steven Lyle Andrews, who also goes by Stevie Andrews, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stevie Andrews

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Lyle Andrews's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 9, 2024 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey St. Fl 04, New York, NY 10281Office #2: 200 Vesey Street Fl 04, New York, NY 10281

CRD#: 125334

NEW YORK, NY

Past

November 5, 2019 - March 25, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 28, 1997 - November 12, 2019

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 6, 1995 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

April 26, 1991 - April 11, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 16, 1989 - May 2, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 18, 1988 - May 1, 1989

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(7/9/2024)

New York
(7/9/2024)

Exams

State Security Law Exam

Series 63

Date: 6/24/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 10/6/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/30/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 Vesey Street Fl 04, New York, NY 10281

Mailing Address

200 Vesey St Fl 04, New York, NY 10281

Phone number

(646) 521-6700

Established

Delaware since 07/01/2004

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

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.

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Advisor Monitoring

Firm Stability Insights

Steven L. Andrews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Lyle Andrews's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

J. W. GANT & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/1988

Series 79TO

Date: 10/6/2021

SIE

Date: 10/1/2018

Series 3

Date: 10/30/1995

Series 7

Date: 6/18/1988

Series 24

Date: 5/25/2005

FINRA

Current Firm

CASTLEOAK SECURITIES, LP

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CASTLEOAK SECURITIES, LP

TRUST BUT VERIFY

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