Andrew K. Shoemaker
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.
Andrew Kariuki Shoemaker was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 8 firms and has passed the Series 63 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
May 9, 2000 - December 31, 2000
TRAVIS MORGAN SECURITIES INC.
April 8, 1997 - January 11, 2000
PROVIDENTIAL SECURITIES, INC.
December 16, 1996 - April 11, 1997
DAEHAN SECURITIES, INC.
February 1, 1996 - November 13, 1996
THE CAMELOT GROUP, INC.
August 15, 1995 - January 15, 1996
AMERIPRISE ADVISOR SERVICES, INC.
February 3, 1995 - March 16, 1995
H.J. MEYERS & CO., INC.
July 29, 1994 - March 31, 1995
A. T. BROD & CO. INC.
January 3, 1994 - July 20, 1994
CHATFIELD DEAN & CO., INC.
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
Current Firm
TRAVIS MORGAN SECURITIES INC.
CRD#: 29088 / SEC#: , 8-44093
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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