Andrew R. Zicklin
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 Richard Zicklin, who also goes by Andy Zicklin, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1995. Andrew had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2011 - April 17, 2014
SEACREST WEALTH MANAGEMENT, LLC
May 11, 2011 - June 17, 2011
MAM SECURITIES, LLC
July 1, 2010 - June 17, 2011
MAM GLOBAL FINANCIAL SERVICES, LLC
June 8, 2010 - June 17, 2011
MAM SECURITIES, LLC
April 1, 2008 - June 21, 2010
DEUTSCHE BANK SECURITIES INC.
April 1, 2008 - June 21, 2010
DEUTSCHE BANK SECURITIES INC.
May 25, 2005 - April 17, 2008
CREDIT SUISSE SECURITIES (USA) LLC
May 25, 2005 - April 17, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 15, 2003 - June 3, 2005
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - June 3, 2005
OPPENHEIMER & CO. INC.
October 16, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 16, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
March 19, 2001 - October 30, 2002
DEUTSCHE BANK SECURITIES INC.
February 15, 2001 - October 30, 2002
DEUTSCHE BANK SECURITIES INC.
August 10, 1995 - February 21, 2001
CITIGROUP GLOBAL MARKETS INC.
April 5, 1995 - August 30, 1995
PFS INVESTMENTS INC.
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
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.
