AL
Andrew G. Lindner
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 2239859
AL
Professional summary
Andrew George Charles Lindner, who also goes by Andy George Charles Lindner, Andy Lindner, is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1992. Andrew has worked at 20 firms and has passed the Series 63, Series 57TO, SIE, Series 25, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andy George Charles Lindner | Andy Lindner
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew George Charles Lindner's 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®
NoneExperience
Current
March 10, 2015 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
October 23, 2013 - March 9, 2015
PUMA CAPITAL, LLC
BD
CRD#: 146744
RED BANK, NJ
Past
March 18, 2013 - October 18, 2013
SSC NY CORP.
BD
CRD#: 29804
NEW YORK, NY
Past
September 11, 2012 - March 18, 2013
SETON SECURITIES GROUP, INC.
BD
CRD#: 18044
NEW YORK, NY
Past
August 31, 2011 - February 13, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
NEW YORK, NY
Past
June 30, 2011 - August 11, 2011
WTS PROPRIETARY TRADING GROUP LLC
BD
CRD#: 148117
NEW YORK, NY
Past
July 16, 2010 - May 2, 2011
PUMA CAPITAL, LLC
BD
CRD#: 146744
RYE, NY
Past
February 3, 2006 - June 16, 2010
TD PRIME SERVICES LLC
BD
CRD#: 1914
NEW YORK, NY
Past
February 20, 2004 - December 1, 2006
FJG SECURITIES INC.
BD
CRD#: 128384
NEW YORK, NY
Past
August 12, 2002 - February 19, 2004
GERMAN, FREDERICK JAY
BD
CRD#: 122275
NEW YORK, NY
Past
May 15, 2002 - August 7, 2002
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
April 1, 2002 - May 15, 2002
CAPITAL GROWTH FINANCIAL, LLC
BD
CRD#: 41040
BOCA RATON, FL
Past
February 28, 2002 - March 1, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
NEW YORK, NY
Past
December 22, 2000 - November 26, 2001
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
April 7, 1999 - July 2, 2001
INSTITUTIONAL EQUITY CORPORATION
BD
CRD#: 19628
DALLAS, TX
Past
March 31, 1998 - April 6, 1999
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
Past
January 15, 1998 - March 31, 1998
J. ROBBINS SECURITIES, L.L.C
BD
CRD#: 42584
NEW YORK, NY
Past
January 9, 1996 - January 8, 1997
RICKEL & ASSOCIATES, INC.
BD
CRD#: 7839
NEW YORK, NY
Past
November 8, 1994 - January 29, 1996
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
September 28, 1994 - November 9, 1994
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
April 5, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
BD
CRD#: 26063
NEW YORK, NY
Past
November 19, 1992 - April 4, 1994
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
August 20, 1992 - November 23, 1992
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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".
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(3/10/2015)
RR
Connecticut(1/8/2016)
RR
Delaware(6/3/2015)
RR
Florida(3/10/2015)
RR
Maryland(1/8/2016)
RR
Massachusetts(1/8/2016)
RR
Michigan(9/11/2018)
RR
New Jersey(3/10/2015)
RR
New York(3/10/2015)
RR
Pennsylvania(1/8/2016)
RR
Rhode Island(2/22/2019)
RR
Texas(10/27/2015)
RR
Virginia(3/21/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 3/24/2003
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 1/8/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 Wall Street 36th Floor Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
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.
