Andrew S. Levi
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 Stuart Levi, who also goes by Andrew S Levi, Andy Levi, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 9 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - March 30, 2012
CARIS & COMPANY, INC.
November 18, 2010 - January 5, 2011
MILLER TABAK + CO., LLC
July 22, 2010 - October 14, 2010
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
November 25, 2009 - March 26, 2010
FIRST NEW YORK SECURITIES L.L.C.
October 22, 2009 - November 5, 2009
ECHOTRADE LLC
January 21, 2009 - August 21, 2009
G-2 TRADING,LLC
March 12, 2001 - January 16, 2007
BEAR WAGNER SPECIALISTS LLC
May 4, 1998 - January 22, 2001
CREDIT SUISSE SECURITIES (USA) LLC
March 27, 1997 - April 1, 1998
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CARIS & COMPANY, INC.
CRD#: 104235 / SEC#: , 8-52713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COX, THOMAS JAMES | CHIEF COMPLIANCE OFFICER | 2594977 |
Disclosures
| Regulatory 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.
