Andrew Barkan

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CRD#: 2467131

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 Barkan was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1) INVESTMENT-RELATED; 665 LONDONBERRY ROAD, ATLANTA, GEORGIA 30327; LICENSED REAL ESTATE AGENT/BROKER; START DATE: 2018; 0 HOURS DURING SECURITIES TRADING HOURS.

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

November 12, 2020 - January 24, 2023

COSEY FINANCIAL SERVICES, INC.

RIA

CRD#: 140175

Hendersonville, TN

Past

December 12, 2016 - August 13, 2019

COSEY FINANCIAL SERVICES, INC.

RIA

CRD#: 140175

ATLANTA, GA

Past

January 14, 2010 - May 18, 2016

FISHER INVESTMENTS

RIA

CRD#: 107342

ATLANTA, GA

Past

May 8, 2007 - November 28, 2008

FISHER INVESTMENTS

RIA

CRD#: 107342

ATLANTA, GA

Past

January 31, 2003 - February 7, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ATLANTA, GA

Past

November 16, 2000 - February 7, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 11, 1998 - November 21, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 7, 1994 - June 17, 1998

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COSEY FINANCIAL SERVICES, INC.

CRD#: 140175 / SEC#: 801-120768

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/13/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/5/1994

General Securities Representative Examination

Current Firm

COSEY FINANCIAL SERVICES, INC.

CRD#: 140175 / SEC#: 801-120768

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/13/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2021 Terminated)

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Contact information

Main Address

118 Huxley Rd Suite 5, Knoxville, TN 37922

Mailing Address

Phone number

(865) 470-4244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - COSEY FINANCIAL SERVICES (3/3/2025)

Regulatory assets under management

Total Number of Accounts	851
AUM (Assets Under Management)	$ 119,053,826

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.

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Advisor Monitoring

Firm Stability Insights

Andrew Barkan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COSEY FINANCIAL SERVICES, INC.

FISHER INVESTMENTS

FISHER INVESTMENTS

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

COSEY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/1994

Series 63

Date: 4/15/1994

Series 7

Date: 4/5/1994

Current Firm

COSEY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COSEY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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