Andrew D. Smith
Professional summary
Andrew David Smith, who also goes by Andy Smith, is a registered financial professional currently at HOULIHAN CAPITAL, LLC located in Chicago, Illinois.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew David Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2011 - Present
HOULIHAN CAPITAL, LLC
Office #1: 200 W Madison Street Suite 2150, Chicago, IL 60661Office #2: 2400 Superior Avenue Suite 100, Cleveland, OH 44114Office #3: 200 W. Madison Street, Suite 2150, Chicago, IL 60606August 8, 1997 - September 27, 2011
HS & CO., INC.
January 30, 1996 - September 13, 1996
WELLS FARGO CLEARING SERVICES, 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
(7/19/2012)
(5/31/2012)
(10/4/2011)
(7/26/2012)
(4/13/2012)
(11/8/2011)
(8/3/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HOULIHAN CAPITAL, LLC
CRD#: 156028 / SEC#: , 8-68762
Contact information
FINRA licenses (10 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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