Andrew Farah
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 Farah, CIMA®, who also goes by Andrew Esber Farah, Andy Farah, Andrew E Farah, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2021 - December 19, 2024
LION STREET FINANCIAL, LLC
July 27, 2021 - December 12, 2024
MERCER GLOBAL ADVISORS INC.
January 2, 2009 - July 12, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 25, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 1995 - July 12, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 22, 1989 - June 9, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 2/17/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
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.
