Andrew J. Sears
Professional summary
Andrew John Sears 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 3 firms, which includes BROOKSTREET SECURITIES CORPORATION, BOLTON GLOBAL CAPITAL, H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1997 - January 11, 2000
BROOKSTREET SECURITIES CORPORATION
April 25, 1995 - June 2, 1997
BOLTON GLOBAL CAPITAL
September 13, 1994 - April 27, 1995
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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