Drew D. Chalmers
Professional summary
Drew David Chalmers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Drew is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Drew had worked at 7 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, TORREY PINES SECURITIES INC., FIRST WALL STREET CORP., CHATFIELD DEAN & CO. INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, FIRST ASSET MANAGEMENT INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2010 - June 11, 2010
INTERNATIONAL ASSETS ADVISORY, LLC
July 2, 2007 - April 15, 2010
TORREY PINES SECURITIES, INC.
April 10, 1997 - July 6, 2007
FIRST WALL STREET CORP.
January 25, 1995 - March 7, 1997
CHATFIELD DEAN & CO., INC.
April 26, 1994 - January 26, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
February 11, 1991 - May 18, 1994
FIRST ASSET MANAGEMENT, INC.
November 27, 1990 - February 19, 1991
CHATFIELD DEAN & CO., INC.
August 22, 1989 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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