Andre T. Carrier
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.
Andre T Carrier, who also goes by Andre Theodore Carrier, Andre Carrier, was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1992. Andre had worked at 20 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 27, Series 4 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 27, 2025 - October 13, 2025
VOYA FINANCIAL ADVISORS, INC.
January 26, 2022 - May 30, 2025
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 24, 2021 - January 7, 2022
T3 TRADING GROUP, LLC
January 7, 2015 - January 20, 2021
PERSHING LLC
July 1, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
December 15, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 15, 2004 - September 5, 2013
WALNUT STREET SECURITIES, INC.
December 15, 2004 - August 26, 2014
NEW ENGLAND SECURITIES
December 15, 2004 - August 26, 2014
MSI FINANCIAL SERVICES, INC.
March 29, 2004 - October 18, 2004
TAFFERER TRADING, LLC
October 3, 2002 - March 31, 2004
RUSHMORE CAPITAL, INC.
September 27, 2001 - March 31, 2004
DOMESTIC SECURITIES, INC.
March 10, 1999 - March 27, 2001
TAFFERER TRADING, LLC
May 5, 1998 - March 3, 1999
J. P. GIBBONS & CO., INC.
July 1, 1997 - December 23, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 18, 1997 - May 19, 1997
MEYERS POLLOCK ROBBINS, INC.
July 10, 1995 - November 13, 1996
CROWN FINANCIAL GROUP, INC.
May 17, 1994 - June 23, 1995
MARKETING ONE SECURITIES, INC.
September 13, 1993 - May 9, 1994
IFMG SECURITIES, INC.
July 8, 1993 - September 17, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 1992 - April 20, 1993
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
