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Andrew J. Darcy

ROBERTS & RYAN
New York, NY 10006-3003
Some features on this profile are disabled
CRD#: 2658844
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Professional summary

Andrew Joseph Darcy, who also goes by Andrew Darcy, is a registered financial professional currently at ROBERTS & RYAN, INC. located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Darcy

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) - BD

Click below to view Andrew Joseph Darcy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 31, 2023 - Present

ROBERTS & RYAN, INC.

Office #1: 39 Broadway Ste 610, New York, NY 10006-3003
BD
CRD#: 19456
New York, NY
Past

September 4, 2018 - December 1, 2022

DREXEL HAMILTON, LLC

BD
CRD#: 143570
NEW YORK, NY
Past

September 7, 2017 - August 15, 2018

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

May 5, 2015 - July 7, 2017

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 21, 2011 - May 14, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 5, 2008 - October 4, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 23, 2004 - August 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

March 7, 2002 - October 25, 2002

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY
Past

November 15, 1995 - August 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/11/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/2/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/22/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/2/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

R&
ROBERTS & RYAN, INC.
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
39 Broadway Ste 1640, New York, NY 10006
Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003
Phone number
(866) 884-9959
Established
Delaware since 02/01/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
DALESSANDRO, EDWARD JOHNMANAGING DIRECTOR, CEO2335785
R&R PARTNERS HOLDING COMPANY, LLCSHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLCSHAREHOLDER
BEATON, DANIEL STEWARTCHIEF FINANCIAL OFFICER, FINOP4240769
ROBERTS, DANIELCCO2208120
SCALA, BRIAN NMNREGISTERED OPTIONS PRINCIPAL2814478

Disclosures

Regulatory Event1

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

ROBERTS & RYAN, INC.

CRD#: 19456New York, NY 10006-3003

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