Andrew S. Fletcher
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 Stephen Fletcher was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1992. Andrew had worked at 16 firms and has passed the Series 63, SIE, Series 55, Series 7 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
May 21, 2013 - July 24, 2015
GAR WOOD SECURITIES, LLC
February 15, 2012 - March 28, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
June 30, 2009 - February 14, 2012
FCG ADVISORS, LLC
April 29, 2008 - August 21, 2008
MADISON PROPRIETARY TRADING GROUP, LLC
November 13, 2007 - February 22, 2008
G-2 TRADING,LLC
October 12, 2006 - November 9, 2007
NEWEDGE USA, LLC
June 6, 2006 - August 24, 2006
J.P. MORGAN SECURITIES LLC
October 27, 2005 - January 25, 2006
SEABOARD SECURITIES, INC.
June 29, 2005 - October 13, 2005
F G MARKETS, INC.
July 1, 2003 - August 14, 2003
AEGIS CAPITAL CORP.
October 4, 2001 - January 4, 2002
PARAGON CAPITAL MARKETS, INC.
March 29, 2000 - April 27, 2000
ROBERTSON STEPHENS, INC.
October 11, 1999 - September 27, 2001
APEX CLEARING CORPORATION
August 31, 1998 - September 20, 1999
LADENBURG THALMANN & CO. INC.
March 16, 1998 - May 15, 1998
VOLPE BROWN WHELAN & COMPANY, LLC
June 24, 1992 - February 6, 1998
CIBC WORLD MARKETS CORP.
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: 9/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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