Andrew B. Harrison
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 Brian Harrison was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2002 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
January 3, 2002 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
January 3, 2002 - November 9, 2018
D.E. SHAW SECURITIES, L.L.C.
August 31, 2001 - January 7, 2002
NOVA FUND L.P.
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 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
D. E. SHAW INVESTMENTS, L.P.
CRD#: 22786 / SEC#: , 8-40511
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW INVESTMENT GROUP, L.L.C. | LIMITED PARTNER | |
| D. E. SHAW & CO., L.P. | GENERAL PARTNER | |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2078654 |
| ELIAS, ROCHELLE ASSAEL | CHIEF COMPLIANCE OFFICER | 724288 |
| GAUDIO, JULIUS RALPH | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2406744 |
| SALKIND, LOUIS KEN | MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 1926517 |
| SEIDEMANN, STEVEN JAY | GENERAL COUNSEL OF D. E. SHAW & CO., L.P. | |
| SHAW, DAVID ELLIOT | CHAIRMAN, PRESIDENT & SOLE SHAREHOLDER OF D. E. SHAW & CO., INC. | 1557735 |
| STECKLER, STUART | CFO; MANAGING DIRECTOR OF D. E. SHAW & CO., L.P. | 2022720 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR OF D. E. SHAW & CO., INC. | 2246217 |
| WEPSIC, ERIC KARL | MANAGING DIRECTOR OF D. E. SHAW & CO. L.P. | 2489161 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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