Andrew Katsanos

COMMERZ MARKETS LLC

NEW YORK, NY 10281

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CRD#: 2271195

Professional summary

Andrew Katsanos, who also goes by Andrew Nmn Katsanos, Andrew Katsanos, is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Nmn Katsanos | Andrew Katsanos

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Katsanos'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®

None

Experience

Current

November 8, 2017 - Present

COMMERZ MARKETS LLC

Office #1: 225 Liberty Street, New York, NY 10281

CRD#: 41957

NEW YORK, NY

Past

May 9, 2011 - October 13, 2017

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504

NEW YORK, NY

Past

February 24, 2009 - March 22, 2010

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

January 5, 2006 - February 6, 2009

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

October 25, 2004 - January 6, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

New York
(11/8/2017)

Exams

State Security Law Exam

Series 63

Date: 10/29/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/3/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COMMERZ MARKETS LLC

COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK

CRD#: 41957 / SEC#: , 8-49647

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

225 Liberty Street, New York, NY 10281

Mailing Address

225 Liberty Street, New York, NY 10281

Phone number

(212) 266-7200

Established

Delaware since 05/28/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COMMERZBANK AG	SHAREHOLDER
BARBELLA, JOSEPH	CHIEF COMPLIANCE OFFICER	5058379
DEFREN, JOHN CHARLES	CHIEF LEGAL OFFICER	5917742
GEREMIA, JOHN MICHAEL	PRESIDENT/MEMBER BOARD OF MANAGERS	1794769
HOLSTEN, ANDREAS FRITZ BRUNO	MEMBER BOARD OF MANAGERS
HUBLEY, YOKO	CFO/FINOP	4297053
LI, SU-CHANG	PRINCIPAL OPERATIONS OFFICER/FINOP	4990155
LLOYD, KEITH ROSWELL	MEMBER BOARD OF MANAGERS	2836268
ROYAN, LEE-ANN	CHIEF OPERATING OFFICER	4860551
SOENNECKEN SCHMIDT, SILKE	MEMBER BOARD OF MANAGERS
TONER, JOSEPH GREGORY	TREASURER	4910635

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Andrew Katsanos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

FIRST CITIZENS CAPITAL SECURITIES, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

COMMERZ MARKETS LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/2004

Series 65

Date: 4/3/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/22/2004

Series 24

Date: 5/18/2007

FINRA

Current Firm

COMMERZ MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COMMERZ MARKETS LLC

TRUST BUT VERIFY

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