Andre P. Hazlewood
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.
Andre Paul Hazlewood was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1994. Andre had worked at 8 firms and has passed the Series 63, Series 55 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
February 18, 2011 - September 27, 2012
TRANSCEND CAPITAL
May 21, 2009 - February 18, 2011
PCS DUNBAR SECURITIES, LLC
July 27, 2006 - April 30, 2009
GLB TRADING, INC
September 17, 2002 - June 28, 2006
CARLIN EQUITIES, LLC
May 24, 2002 - September 18, 2002
KSH INVESTMENT GROUP, INC.
August 19, 1997 - March 23, 2000
ON-SITE TRADING, INC.
February 13, 1996 - June 25, 1997
GKN SECURITIES CORP.
November 17, 1995 - February 27, 1996
MAIDSTONE FINANCIAL, INC.
December 19, 1994 - May 26, 1995
GKN SECURITIES CORP.
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: 1/18/2003
Limited Representative-Equity Trader ExamCurrent Firm
TRANSCEND CAPITAL
CRD#: 104483 / SEC#: , 8-52946
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
