Andrew K. Frank

SHELTER ROCK MANAGEMENT

Jericho, NY 11753

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CRD#: 2199115

Professional summary

Andrew Kerr Frank, who also goes by Andy Frank, is a registered financial advisor currently at SHELTER ROCK MANAGEMENT, LLC located in Jericho, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Andrew has worked at 9 firms and has passed the Series 66, Series 63, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy Frank

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.

NAME: NATIONAL EMPLOYERS COUNCIL ADDRESS: 5795 Widewaters Pkwy SYRACUSE, NY 13214 POSITION: DIRECTOR START DATE: 9/7/04 HOURS: 10-15 HOURS/YEAR-NON DURING BUSINESS HOURS (EXCEPT FOR OFF DAYS) DUTIES: AS DIRECTOR I WILL HELP GUIDE THE COMPANY'S LONG RANGE STRATEGIES AND MARKETING EFFORTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Kerr Frank'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

January 28, 2014 - Present

SHELTER ROCK MANAGEMENT, LLC

Office #1: 375 North Broadway Suite 207, Jericho, NY 11753

RIA

CRD#: 142739

Jericho, NY

Past

June 2, 2011 - September 10, 2012

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

September 9, 2010 - April 6, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

December 19, 2006 - March 23, 2007

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

NEW YORK, NY

Past

January 2, 2003 - March 23, 2007

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

August 1, 2000 - February 19, 2003

INSTINET, LLC

CRD#: 42886

NEW YORK, NY

Past

October 30, 1996 - August 1, 2000

REUTERS C CORPORATION

CRD#: 14408

NEW YORK, NY

Past

May 28, 1992 - July 23, 1996

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

January 6, 1992 - May 11, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

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).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/19/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/20/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/17/1991

General Securities Representative Examination

Current Firm

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

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Contact information

Main Address

375 North Broadway Suite 207, Jericho, NY 11753

Mailing Address

Phone number

(516) 605-2215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHELTER ROCK MANAGEMENT, LLC ADV PART 2A BROCHURE (7/17/2025)

Regulatory assets under management

Total Number of Accounts	278
AUM (Assets Under Management)	$ 206,212,472

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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Advisor Monitoring

Firm Stability Insights

Andrew K. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Kerr Frank's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

HSBC SECURITIES (USA) INC.

JEFFERIES EXECUTION SERVICES, INC.

JEFFERIES LLC

INSTINET, LLC

REUTERS C CORPORATION

SANFORD C. BERNSTEIN & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SHELTER ROCK MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2012

Series 63

Date: 8/19/2010

Series 3

Date: 6/20/2006

Series 55

Date: 3/2/2000

Series 7

Date: 12/17/1991

Current Firm

SHELTER ROCK MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHELTER ROCK MANAGEMENT, LLC

TRUST BUT VERIFY

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