Andrew P. Amavisca
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 Phillip Amavisca, who also goes by Andrew Phillip Amavisca, Andrew P Amavisca, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2018 - August 29, 2018
LPL FINANCIAL LLC
July 16, 2018 - August 29, 2018
LPL FINANCIAL LLC
October 31, 2014 - February 9, 2018
NATIONAL PLANNING CORPORATION
October 31, 2014 - February 9, 2018
NATIONAL PLANNING CORPORATION
March 7, 2014 - April 30, 2014
EQUITABLE ADVISORS, LLC
December 20, 2012 - April 30, 2014
EQUITABLE ADVISORS, LLC
January 11, 2012 - November 21, 2012
GRIFFIN CAPITAL SECURITIES, LLC
February 1, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
June 2, 2010 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
August 26, 2009 - June 21, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - June 21, 2010
CHASE INVESTMENT SERVICES CORP.
April 21, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
July 11, 2007 - January 20, 2009
DIRECTED SERVICES LLC
April 21, 2003 - June 26, 2007
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 29, 2002 - May 21, 2003
VOYA FINANCIAL PARTNERS, LLC
August 15, 2001 - April 19, 2002
INVEST FINANCIAL CORPORATION
July 26, 2000 - June 29, 2001
NATHAN & LEWIS SECURITIES, INC.
August 27, 1998 - July 27, 2000
METLIFE INVESTORS DISTRIBUTION COMPANY
December 10, 1997 - February 23, 1998
NEW ENGLAND SECURITIES
April 4, 1997 - December 3, 1997
METLIFE INVESTORS DISTRIBUTION COMPANY
May 30, 1996 - May 20, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
