Andreea M. Georgiu
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.
Andreea Madaline Georgiu, who also goes by Andreea Madeline Georgiu, Andreea Georgiu, was a registered financial professional .
Andreea is a previously registered financial professional and started their career in finance in 1992. Andreea had worked at 14 firms and has passed the Series 65, Series 63, Series 3, SIE 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
August 9, 2022 - November 24, 2023
BNY MELLON SECURITIES CORPORATION
July 7, 2021 - April 6, 2022
FRANKLIN DISTRIBUTORS, LLC
October 10, 2019 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
August 7, 2015 - October 14, 2019
INTECH
May 22, 2015 - July 6, 2018
JANUS HENDERSON DISTRIBUTORS US LLC
October 23, 2013 - April 28, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 22, 2013 - April 28, 2015
NYLIFE DISTRIBUTORS LLC
December 27, 2009 - May 23, 2013
LORD, ABBETT & CO. LLC
December 14, 2009 - May 23, 2013
LORD ABBETT DISTRIBUTOR LLC
January 2, 2007 - November 13, 2009
COWEN EXECUTION SERVICES LLC
March 8, 1999 - January 2, 2007
LYNCH, JONES & RYAN LLC
September 5, 1997 - January 14, 1999
GOLDMAN SACHS & CO. LLC
February 23, 1993 - June 15, 1993
PRIME CHARTER LTD.
November 20, 1992 - February 11, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
Current Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
