Andrew H. Gaines
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 Harrod Gaines, who also goes by Drew Gaines, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 8 firms and has passed the Series 63, SIE 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
June 20, 2008 - August 19, 2015
MULTI-BANK SECURITIES, INC.
September 21, 1998 - May 19, 2000
TUCKER ANTHONY INCORPORATED
August 19, 1996 - October 4, 1996
DILLON - GAGE SECURITIES, INC.
July 25, 1996 - August 14, 1996
NATIONAL CLEARING CORP.
June 15, 1995 - August 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1994 - April 4, 1995
MORGAN STANLEY DW INC.
January 27, 1993 - August 30, 1994
COMMONWEALTH INSTITUTIONAL SECURITIES, INC.
January 10, 1991 - November 9, 1992
J.C. BRADFORD & CO.
March 21, 1989 - December 17, 1990
MORGAN STANLEY DW INC.
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
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
