Andrew L. Geissler
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 L Geissler, who also goes by Andrew L Geissler Mr., was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
February 8, 2011 - October 16, 2012
LIQUIDNET, INC.
December 22, 2009 - December 31, 2010
KNIGHT DIRECT LLC
December 22, 2009 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
March 2, 2009 - February 14, 2011
KNIGHT CAPITAL AMERICAS, L.P.
April 19, 2000 - March 5, 2009
CITIGROUP GLOBAL MARKETS INC.
September 7, 1994 - March 8, 2000
UBS FINANCIAL SERVICES 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 55
Date: 9/11/2009
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
