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AR

Andrew S. Reckles

Some features on this profile are disabled
CRD#: 2437377
AR

Professional summary

Andrew Scott Reckles was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Andrew had worked at 11 firms, which includes TERRANOVA CAPITAL EQUITIES INC, MERRIMAN CAPITAL INC., INTELLIVEST SECURITIES INC., MOODY CAPITAL SOLUTIONS INC, STREETCAPITAL INC, VFINANCE CAPITAL LC, FIRST ATLANTA SECURITIES LLC, JWGENESIS SECURITIES INC., JOSEPHTHAL & CO. INC., PRUDENTIAL EQUITY GROUP LLC, MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andy Reckles

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 3, 2014 - August 20, 2014

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

September 28, 2012 - September 23, 2013

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

May 13, 2011 - September 29, 2012

INTELLIVEST SECURITIES, INC.

BD
CRD#: 145022
RIVERDALE, GA
Past

September 23, 2009 - December 22, 2010

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
ALPHARETTA, GA
Past

June 1, 2001 - October 29, 2008

STREETCAPITAL, INC

BD
CRD#: 104034
ROSWELL, GA
Past

January 14, 2000 - June 28, 2001

VFINANCE CAPITAL LC

BD
CRD#: 46528
NEW YORK, NY
Past

September 21, 1999 - December 21, 1999

FIRST ATLANTA SECURITIES, LLC

BD
CRD#: 18200
DESTIN, FL
Past

November 30, 1995 - September 15, 1999

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

March 8, 1995 - December 7, 1995

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

June 3, 1994 - April 11, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 1, 1994 - June 3, 1994

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/26/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/28/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2010
General Securities Principal Examination

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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.

Company Information

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

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