Andrew R. Doppelt

CORRELL CO. INVESTMENT SERVICES

Hickory Hills, IL 60457-2211

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CRD#: 2194328

Professional summary

Andrew Richard Doppelt is a registered financial professional currently at CORRELL CO. INVESTMENT SERVICES CORP. located in Hickory Hills, Illinois.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1992. Andrew has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Richard Doppelt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 17, 2015 - Present

CORRELL CO. INVESTMENT SERVICES CORP.

Office #1: 9655 South 78th Avenue, Hickory Hills, IL 60457-2211Office #2: 3325 N. Arlington Heights Road, Suite 200a, Arlington Heights, IL 60004

RIA

CRD#: 38995

Hickory Hills, IL

Past

September 12, 2014 - October 8, 2015

STONEX SECURITIES INC.

CRD#: 18456

ARLINGTON HEIGHTS, IL

Past

September 25, 2009 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

ARLINGTON HEIGHTS, IL

Past

September 8, 2009 - October 5, 2009

LPL FINANCIAL LLC

CRD#: 6413

ARLINGTON HEIGHTS, IL

Past

March 6, 2006 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

ARLINGTON HEIGHTS, IL

Past

April 5, 2000 - March 7, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

February 5, 1992 - May 2, 2000

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(12/10/2019)

California
(9/17/2015)

Colorado
(12/22/2020)

Illinois
(9/17/2015)

Texas
(1/7/2017)

Wisconsin
(9/17/2015)

Exams

State Security Law Exam

Series 63

Date: 2/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/3/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CORRELL CO. INVESTMENT SERVICES CORP.

CORRELL CO. INVESTMENT SERVICES CORP. | CORRELL CO. INVESTMENT SERVICES CORP.

CRD#: 38995 / SEC#: 801-42789, 8-48507

RIA

Registered Investment Advisory firm - SEC (6/25/2002 Terminated)

Illinois

Registered Investment Advisory firm - SEC (4/22/2002 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9655 South 78th Avenue, Hickory Hills, IL 60457

Mailing Address

9655 South 78th Avenue, Hickory Hills, IL 60457-2211

Phone number

(708) 599-2900

Established

Illinois since 12/26/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CORRELL, EARL FRANKLIN III	SHAREHOLDER	3151321
CORRELL, JAMES CHARLES	SHAREHOLDER & CHIEF EXECUTIVE OFFICER	2728531
CORRELL, MELODY NICOLE	CHIEF FINANCIAL OFFICER/FINOP & CHIEF COMPLIANCE OFFICER	2256664
LUCENTE, DEBRA JEAN	SECRETARY	2644948

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 233,300,000

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.

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Firm Stability Insights

Andrew R. Doppelt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Richard Doppelt's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/1992

SIE

Date: 10/1/2018

Series 6

Date: 2/3/1992

FINRA

Current Firm

CORRELL CO. INVESTMENT SERVICES CORP.

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

CORRELL CO. INVESTMENT SERVICES CORP.

TRUST BUT VERIFY

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