Andrew N. Albert
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 Noah Albert, who also goes by Andrew N Albert, Andy Albert, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 10 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55 and Series 7 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, 2017 - April 25, 2024
MAREX CAPITAL MARKETS INC.
May 7, 2013 - January 4, 2017
R.W.PRESSPRICH & CO.
September 26, 2011 - March 28, 2013
SHELTER HARBOR CAPITAL
February 4, 2010 - December 1, 2010
WEEDEN & CO.L.P.
July 21, 2004 - February 9, 2010
CRT CAPITAL GROUP LLC
April 30, 2002 - July 20, 2004
PALI CAPITAL, INC.
April 16, 2002 - April 30, 2002
PALI CAPITAL, LLC
July 10, 2001 - April 15, 2002
A.B. WATLEY, INC.
August 11, 1998 - June 20, 2001
TRIBECA INVESTMENTS, L.L.C.
April 2, 1996 - June 30, 1998
ROBERT FLEMING INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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