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Andre Paul Hazlewood

CRD# 2418719·Registered 1994 - 2012
Previously Registered: Being a previously registered professional could mean that Andre 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.

Professional Summary

Andre Paul Hazlewood was a registered financial advisor. Andre was a previously registered financial professional and started their career in finance 1994 - 2012. Andre had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

31 years in the financial services industry

Current & Past Employments

TRANSCEND CAPITAL·CRD# 104483
BD
Austin, TX
February 18, 2011 - September 27, 2012
PCS DUNBAR SECURITIES, LLC·CRD# 128144
BD
Westport, CT
May 21, 2009 - February 18, 2011
GLB TRADING, INC·CRD# 125363
BD
Westport, CT
July 27, 2006 - April 30, 2009
CARLIN EQUITIES, LLC·CRD# 31295
BD
Garden City, NY
September 17, 2002 - June 28, 2006
KSH INVESTMENT GROUP, INC.·CRD# 41817
BD
Great Neck, NY
May 24, 2002 - September 18, 2002
ON-SITE TRADING, INC.·CRD# 30271
BD
Great Neck, NY
August 19, 1997 - March 23, 2000
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
February 13, 1996 - June 25, 1997
MAIDSTONE FINANCIAL, INC.·CRD# 31804
BD
New York, NY
November 17, 1995 - February 27, 1996
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
December 19, 1994 - May 26, 1995

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Current Firm

TC
TRANSCEND CAPITAL

PROTRADER.COM, LP | TRANSCEND CAPITAL, LP | TRANSCEND CAPITAL, LLC | TRANSCEND CAPITAL

CRD#: 104483 / SEC#: 8-52946
BD
Terminated by SEC on 09/30/2016

Contact Information

Established

Texas since 04/13/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
TRANSCEND CAPITAL MANAGEMENT, LLCMANAGING MEMBER—
DENIO, MICHAEL EDWINPRESIDENT / CCO4167298
GOODIN, DIANE MARIEFINOP / CFO3117840
JONES, VERNON HUGH JR.CEO4316356
SWEARINGEN, BRADLEY JACOBCHIEF TECHNICAL OFFICER/CHIEF INFORMATION OFFICER4633976

Disclosures

Regulatory Event

4

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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.
This advisor is not registered in any state.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2002About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2003

Series 7 — General Securities Representative Examination

Passed Dec 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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