Andrew D. Kiernan
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 Dever Kiernan was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 6 firms and has passed the Series 63, Series 55, Series 25 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
November 18, 2011 - September 18, 2012
LIQUIDNET, INC.
July 21, 2009 - May 10, 2011
COWEN EXECUTION SERVICES LLC
October 30, 2007 - January 26, 2009
AXES, LLC
February 7, 2006 - June 1, 2007
DRU STOCK, INC.
September 16, 2003 - February 1, 2006
GOLDMAN SACHS & CO. LLC
May 30, 2000 - September 10, 2003
RAYMOND JAMES & ASSOCIATES, 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
Series 55
Date: 4/6/2005
Limited Representative-Equity Trader ExamSeries 25
Date: 11/30/1999
NYSE Trading Assistant ExaminationCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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