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Clifford Simpler Andrews Iii

CRD# 1895779·Registered 1988 - 2019
Previously Registered: Being a previously registered professional could mean that Clifford 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.

Professional Summary

Clifford Simpler Andrews III, who also goes by Corky Andrews, Clifford Simpler Andrewsiii, was a registered financial advisor. Clifford was a previously registered financial professional and started their career in finance 1988 - 2019. Clifford had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Corky Andrews, Clifford Simpler Andrewsiii

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

Past

CASTLE PLACEMENT, LLCPast·CRD# 189511
BD
New York, NY
August 11, 2016 - June 4, 2019
ACP SECURITIES, LLCPast·CRD# 139049
BD
Miami, FL
February 5, 2014 - October 7, 2014
STONECASTLE SECURITIES, LLCPast·CRD# 131211
BD
New York, NY
September 1, 2011 - November 4, 2013
MIZUHO SECURITIES USA LLCPast·CRD# 19647
BD
New York, NY
March 24, 2010 - June 24, 2011
COHEN & COMPANY SECURITIES, LLCPast·CRD# 104002
BD
New York, NY
July 13, 2009 - March 19, 2010
TERWIN CAPITAL, LLCPast·CRD# 122463
BD
New York, NY
February 6, 2003 - June 6, 2007
CREDIT SUISSE SECURITIES (USA) LLCPast·CRD# 816
BD
New York, NY
October 16, 2000 - August 30, 2002
PERSHING LLCPast·CRD# 7560
BD
Jersey City, NJ
March 3, 1994 - October 16, 2000
LEHMAN SPECIAL SECURITIES INC.Past·CRD# 7242
BD
March 19, 1990 - March 9, 1994
LEHMAN GOVERNMENT SECURITIES INC.Past·CRD# 19655
BD
March 19, 1990 - March 9, 1994
LEHMAN BROTHERS INC.Past·CRD# 7506
BD
New York, NY
November 23, 1988 - March 9, 1994

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Current Firm

CP
CASTLE PLACEMENT, LLC

CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: 8-69612
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

180 Boardwalk - 625, Long Beach, NY 11561

Mailing Address

1460 Broadway, New York, NY 10036

Phone Number

(212) 418-1180

Established

Delaware since 03/13/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CASTLE PLACEMENT GROUP LLCMEMBER—
BEATON, DANIEL STEWARTFINOP4240769
LUFTIG, RICHARD STEVENCCO, EXEC REP, AML SUPERVISOR2391290
MARGOLIS, KENNETH HARRYMANAGER, HOME OFFICE SUPERVISOR2230861

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 1988About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Nov 1988About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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