Andrew L. Geller
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 Lawrence Geller, CPWA® was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1992. Andrew had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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
Start date: 2012-04-12
Expire date: 2024-03-31
Experience
July 6, 2011 - December 31, 2015
WESTERN PEAK INVESTMENT ADVISORS, LLC
October 23, 2009 - April 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 16, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 16, 1995 - April 7, 2000
CITIGROUP GLOBAL MARKETS INC.
November 22, 1992 - August 18, 1995
PRUDENTIAL EQUITY GROUP, LLC
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
WESTERN PEAK INVESTMENT ADVISORS, LLC
CRD#: 157933 / SEC#: 801-72412
Contact information
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.
