Andrew David Smith
Professional Summary
Andrew David Smith, who also goes by Andy Smith, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Andy Smith
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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
30 years registered in the securities industry
Current & Past Employments
Current
Past
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WILLIAM BLAIR
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Current Firm
HOULIHAN CAPITAL, LLC
Contact Information
Main Address
123 N. Wacker Drive, Suite 2025, Chicago, IL 60606Mailing Address
123 N. Wacker Drive, Suite 2025, Chicago, IL 60606Phone Number
(312) 450-8600Established
Nevada since 08/06/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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WILLIAM BLAIR
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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WILLIAM BLAIR
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State Registrations and Notice Filings
(7/19/2012)
(5/31/2012)
(10/4/2011)
(7/26/2012)
(4/13/2012)
(11/8/2011)
(8/3/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Andrew David Smith's CRS (Customer Relationship Summary).
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