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SA

Steven L. Andrews

KINGSROCK SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 1833361
SA

Professional summary

Steven Lyle Andrews, who also goes by Stevie Andrews, is a registered financial professional currently at KINGSROCK SECURITIES LLC 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 8 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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).
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

May 14, 2026 - Present

KINGSROCK SECURITIES LLC

Office #1: 900 Third Avenue, Suite 1801, New York, NY 10022
BD
CRD#: 325143
NEW YORK, NY
Past

July 9, 2024 - December 16, 2025

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

November 5, 2019 - March 25, 2024

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

November 28, 1997 - November 12, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 6, 1995 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

April 26, 1991 - April 11, 1994

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 16, 1989 - May 2, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 18, 1988 - May 1, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

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

RR
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

RR
California
(5/14/2026)
RR
Connecticut
(5/14/2026)
RR
New Jersey
(5/14/2026)
RR
New York
(5/14/2026)
RR
North Carolina
(5/14/2026)
RR
Texas
(5/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/6/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/30/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KINGSROCK SECURITIES LLC
KINGSROCK SECURITIES LLC

CRD#: 325143 / SEC#: , 8-71064

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
900 Third Avenue, Suite 1801, New York, NY 10022
Mailing Address
900 Third Avenue, Suite 1801, New York, NY 10022
Phone number
(917) 992-4544
Established
Delaware since 01/20/2023
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KINGSROCK ADVISORS LLCMEMBER
GOODE, JACQUELINE MARIECCO1292607
JAFFE, LOUIS STEVENCHIEF EXECUTIVE OFFICER & MANAGING PARTNER2310182
PLOTYCIA, STEVEN WILLIAMFINOP/POO/PFO5293014
WOHLIN, HAKAN NILSMANAGING PARTNER2329972

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.

Company Information

KINGSROCK SECURITIES LLC

CRD#: 325143New York, NY 10022

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