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Andrew Paul Gross

PEEL HUNT
NEW YORK, NY
·CRD# 2402407·33 years experience

Professional Summary

Andrew Paul Gross, who also goes by Andy Gross, is a registered financial advisor currently at PEEL HUNT INC. located in New York, New York. Andrew is registered as a RR (Registered Representative) and started their career in finance in 1993. Andrew has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andy Gross

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

PEEL HUNT INC.·CRD# 157321
BD
10 Grand Central 155 East 44th Street, New York, NY 10017
March 10, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
New York, NY
November 9, 2020 - September 17, 2021
MAINFIRST SECURITIES US INC.·CRD# 150982
BD
Frankfurt Am Main
December 21, 2017 - February 16, 2021
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
New York, NY
June 13, 2005 - November 12, 2017
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
November 1, 1993 - May 24, 2005

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Current Firm

PH
PEEL HUNT INC.

PEEL HUNT INC.

CRD#: 157321 / SEC#: 8-68845
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

7th Floor 100 Liverpool Street, London, EC2M 2AT

Mailing Address

7th Floor 100 Liverpool Street, London, EC2M 2AT

Phone Number

4420 7418-8900

Established

Delaware since 03/04/2011

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

FINRA licenses (2 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
PEEL HUNT INTERNATIONAL LIMITEDOWNER—
FINE, STEVEN HARVEYCHAIRMAN2000873
GROSS, ANDREW PAULCEO2402407
LAW, GEORGIA PHILIPPA DUNCANCCO8165329
SHAW, ANTHONYFINOP7338445

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New York
(3/10/2022)
RR
Virginia
(1/3/2023)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2009About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

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

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