AF
Andrew D. Finnegan
CG ADVISORY SERVICES
Wilmington, NC 28405
Some features on this profile are disabled
CRD#: 2709048
AF
Professional summary
Andrew Devitt Finnegan, who also goes by Drew Finnegan, Andrew D Finnegan, Andrew Devitt Finnegan, Andrew Finnegan, is a registered financial advisor currently at CG ADVISORY SERVICES located in Wilmington, North Carolina and LPL FINANCIAL LLC located in Wilmington, North Carolina.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Drew Finnegan | Andrew D Finnegan | Andrew Devitt Finnegan | Andrew Finnegan
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)12/15/2023 - CG Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/2016 2)01/10/2024 - Capital Asset Advisory Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 2/13/2023 - 120 Hrs/Mo; 6 Hrs During Trading - I provide investment advisory services through Capital Asset Advisory Services, an independent investment advisor firm. I started this business activity in 02/2023. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3)01/10/2024 - Capital Asset Advisory Services DBA CG Advisory Services - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 2/13/2023 - 120 Hrs/mo; 6 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Devitt Finnegan's 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®
NoneExperience
Current
April 3, 2023 - Present
CG ADVISORY SERVICES
Office #1: 219 Station Road Suite 201, Wilmington, NC 28405RIA
CRD#: 110929
Wilmington, NC
Current
January 8, 2024 - Present
LPL FINANCIAL LLC
Office #1: 219 Station Rd. Suite 201, Wilmington, NC 28405RIA
BD
CRD#: 6413
Wilmington, NC
Past
December 7, 2022 - December 19, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
TIBURON, CA
Past
November 29, 2022 - December 16, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
December 17, 2021 - August 4, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
San Francisco, CA
Past
December 17, 2021 - August 4, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
San Francisco, CA
Past
January 21, 2021 - November 29, 2021
CLICK CAPITAL MARKETS
BD
CRD#: 168376
SCOTTSDALE, AZ
Past
October 6, 2020 - January 12, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MILL VALLEY, CA
Past
September 14, 2020 - January 12, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MILL VALLEY, CA
Past
September 6, 2017 - June 5, 2020
MOTIF
BD
CRD#: 155731
SAN MATEO, CA
Past
August 13, 2014 - February 10, 2016
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
February 14, 2014 - July 29, 2014
GORDIAN INVESTMENTS, LLC
BD
CRD#: 158611
SAN FRANCISCO, CA
Past
June 4, 2012 - July 11, 2013
ADF CAPITAL MANAGEMENT, LLC
RIA
CRD#: 159859
TIBURON, CA
Past
September 1, 1998 - March 14, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
December 2, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
March 6, 1996 - November 18, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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".
CA
CG ADVISORY SERVICES
360 FINANCIAL GROUP | VITAL WEALTH MANAGEMENT | VERUS WEALTH MANAGEMENT | USA TAX & INSURANCE SERVICES | USA FINANCIAL & TAX SERVICES | TRUCHOICE FINANCIAL | TRINITY ADVISORY GROUP | TOTAL FINANCIAL HEALTH | TOM TURNER FINANCIAL SERVICES | THREE SIXTY WEALTH MANAGEMENT | THE PRIZANT GROUP | TENNESSEE VALLEY RETIREMENT SOLUTIONS | SYNERGY SETTLEMENTS | STRATEGIC WEALTH CONCEPTS | STITES FINANCIAL | SMART FINANCIAL | SCARLET OAK FINANCIAL SERVICES | ROMAN CAPITAL STRATEGIES | RHL GROUP | RETIREMENT ADVIOSRS OF NE | REDFIELD FINANCIAL GROUP | RECON INVESTMENTS STRATEGIES | PROUT FINANCIAL DESIGN | PROTECTIVE WEALTH CONCEPTS | PRINCETON TAX ADVISORY GROUP | PRESERVATION WEALTH MANAGEMENT | PRESERVATION FINANCIAL MANAGEMENT | PRENDERGAST FINANCIAL SERVICES | POTERACK CAPITAL ADVISORY | PLANNING BY DESIGN FINANCIAL | PERSONALIZED WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PACKARD ADVISORY SERVICES | ONPOINT TAX & FINANCIAL SERVICES | O'NEIL WEALTH | NORTHBROOK INVESTMENT MANAGEMENT | NORTH SHORE ASSET MANAGEMENT & TAX ADVISORY GROUP | MULCAHY FINANCIAL | MICHIGAN FIRST CREDIT UNION | MICHAEL DONALDSON ASSET MANAGEMENT | MCLEOD FINANCIAL GROUP | MCBEATH TAX & FINANCIAL SERVICES | LUMOS WEALTH ADVISORS | LUCAS ADAM FINANCIAL, LLC | LIFE STRATEGY FINANCIAL, LLC | LIBERTY ROAD FINANCIAL SERVICES | LEWIS TAX ADVISORY GROUP | LEAVITT FINANCIAL GROUP | LASTING LEGACY FINANCIAL | LAKE MINNETONKA FINANCIAL | JEFFINANCIAL GROUP | JAY GREER & CO. | INCOME PLANNING GROUP | IMBER TAX ADVISORY GROUP | HEIN FINANCIAL GROUP | HAYWORTH ADVISORY | GOTTO CAPITAL MANAGEMENT | GJO FINANCIAL LLC | GENERATIONS TAX & INSURANCE SERVICES, INC | FORTIS WEALTH MANAGEMENT | FORD FINANCIAL SERVICES OF EAST TEXAS | FIRST FINANCIAL TAX GROUP | FIRESTONE FINANCIAL GROUP | FINANCIAL CARE PROVIDERS | FIAT WEALTH MANAGEMENT | EVANGELISTA AND ASSOCIATES | ENCORE ADVISORS | ELEVATE LIFE WEALTH | DFC INVESTMENT & RETIREMENT STRATEGIES | DARR WEALTH | CORE INCOME WEALTH MANAGEMENT | CHAMBERLAIN TAX ADVISORY GROUP | CG FINANCIAL SERVICES OF WILMINGTON | CG FINANCIAL SERVICES OF WILLIAMSTON | CG FINANCIAL SERVICES OF TRAVERSE CITY | CG FINANCIAL SERVICES OF MUNISING | CG FINANCIAL SERVICES OF MARQUETTE | CG FINANCIAL SERVICES OF HASLETT | CG FINANCIAL SERVICES OF CHARLOTTE | CG FINANCIAL SERVICES OF CARO | CG FINANCIAL SERVICES | CG FINANCIAL OF MIDLAND | CG ADVISORY SERVICES | CARR CAPITAL, LLC | CAPITOL INCOME CONSULTANTS | CAPITALWISE ADVISORS, LLC | CAPITAL ASSET ADVISORY SERVICES, LLC. | CAPITAL ASSET ADVISORY SERVICES, LLC | CAPITAL ASSET ADVISORY SERVICES LLC | CAPITAL ASSET ADVISORY SEERVICES, LLC | C.B. WOOD FINANCIAL LLC | BRADY FINANCIAL PLANNING | BLUEPRINT WEALTH MANAGEMENT, LLC | BENEFIT STRATEGIES | BARR CAPITAL MANAGEMENT | AUSTIN TAX | ALPHA ASSET ADVISORS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE ADVISORS | ALL THINGS FINANCIAL | ADVANCEMENT FINANCIAL SERVICES | ADVANCED WEALTH STRATEGIES | AB RESOURCES
CRD#: 110929 / SEC#: 801-67082
RIA
Registered Investment Advisory firm - (8/10/2006 Approved)Michigan
Registered Investment Advisory firm - (12/31/2007 Failure to Renew)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Michigan(1/8/2024)
IAR
North Carolina(4/3/2023)
RR
North Carolina(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/28/1999
Limited Representative-Equity Trader ExamSRO Registrations
RR
FINRA
Current Firm
CA
CG ADVISORY SERVICES
360 FINANCIAL GROUP | VITAL WEALTH MANAGEMENT | VERUS WEALTH MANAGEMENT | USA TAX & INSURANCE SERVICES | USA FINANCIAL & TAX SERVICES | TRUCHOICE FINANCIAL | TRINITY ADVISORY GROUP | TOTAL FINANCIAL HEALTH | TOM TURNER FINANCIAL SERVICES | THREE SIXTY WEALTH MANAGEMENT | THE PRIZANT GROUP | TENNESSEE VALLEY RETIREMENT SOLUTIONS | SYNERGY SETTLEMENTS | STRATEGIC WEALTH CONCEPTS | STITES FINANCIAL | SMART FINANCIAL | SCARLET OAK FINANCIAL SERVICES | ROMAN CAPITAL STRATEGIES | RHL GROUP | RETIREMENT ADVIOSRS OF NE | REDFIELD FINANCIAL GROUP | RECON INVESTMENTS STRATEGIES | PROUT FINANCIAL DESIGN | PROTECTIVE WEALTH CONCEPTS | PRINCETON TAX ADVISORY GROUP | PRESERVATION WEALTH MANAGEMENT | PRESERVATION FINANCIAL MANAGEMENT | PRENDERGAST FINANCIAL SERVICES | POTERACK CAPITAL ADVISORY | PLANNING BY DESIGN FINANCIAL | PERSONALIZED WEALTH ADVISORS | PEACHTREE FINANCIAL GROUP | PACKARD ADVISORY SERVICES | ONPOINT TAX & FINANCIAL SERVICES | O'NEIL WEALTH | NORTHBROOK INVESTMENT MANAGEMENT | NORTH SHORE ASSET MANAGEMENT & TAX ADVISORY GROUP | MULCAHY FINANCIAL | MICHIGAN FIRST CREDIT UNION | MICHAEL DONALDSON ASSET MANAGEMENT | MCLEOD FINANCIAL GROUP | MCBEATH TAX & FINANCIAL SERVICES | LUMOS WEALTH ADVISORS | LUCAS ADAM FINANCIAL, LLC | LIFE STRATEGY FINANCIAL, LLC | LIBERTY ROAD FINANCIAL SERVICES | LEWIS TAX ADVISORY GROUP | LEAVITT FINANCIAL GROUP | LASTING LEGACY FINANCIAL | LAKE MINNETONKA FINANCIAL | JEFFINANCIAL GROUP | JAY GREER & CO. | INCOME PLANNING GROUP | IMBER TAX ADVISORY GROUP | HEIN FINANCIAL GROUP | HAYWORTH ADVISORY | GOTTO CAPITAL MANAGEMENT | GJO FINANCIAL LLC | GENERATIONS TAX & INSURANCE SERVICES, INC | FORTIS WEALTH MANAGEMENT | FORD FINANCIAL SERVICES OF EAST TEXAS | FIRST FINANCIAL TAX GROUP | FIRESTONE FINANCIAL GROUP | FINANCIAL CARE PROVIDERS | FIAT WEALTH MANAGEMENT | EVANGELISTA AND ASSOCIATES | ENCORE ADVISORS | ELEVATE LIFE WEALTH | DFC INVESTMENT & RETIREMENT STRATEGIES | DARR WEALTH | CORE INCOME WEALTH MANAGEMENT | CHAMBERLAIN TAX ADVISORY GROUP | CG FINANCIAL SERVICES OF WILMINGTON | CG FINANCIAL SERVICES OF WILLIAMSTON | CG FINANCIAL SERVICES OF TRAVERSE CITY | CG FINANCIAL SERVICES OF MUNISING | CG FINANCIAL SERVICES OF MARQUETTE | CG FINANCIAL SERVICES OF HASLETT | CG FINANCIAL SERVICES OF CHARLOTTE | CG FINANCIAL SERVICES OF CARO | CG FINANCIAL SERVICES | CG FINANCIAL OF MIDLAND | CG ADVISORY SERVICES | CARR CAPITAL, LLC | CAPITOL INCOME CONSULTANTS | CAPITALWISE ADVISORS, LLC | CAPITAL ASSET ADVISORY SERVICES, LLC. | CAPITAL ASSET ADVISORY SERVICES, LLC | CAPITAL ASSET ADVISORY SERVICES LLC | CAPITAL ASSET ADVISORY SEERVICES, LLC | C.B. WOOD FINANCIAL LLC | BRADY FINANCIAL PLANNING | BLUEPRINT WEALTH MANAGEMENT, LLC | BENEFIT STRATEGIES | BARR CAPITAL MANAGEMENT | AUSTIN TAX | ALPHA ASSET ADVISORS | ALLIANCE WEALTH MANAGEMENT | ALLIANCE ADVISORS | ALL THINGS FINANCIAL | ADVANCEMENT FINANCIAL SERVICES | ADVANCED WEALTH STRATEGIES | AB RESOURCES
CRD#: 110929 / SEC#: 801-67082
RIA
Registered Investment Advisory firm - (8/10/2006 Approved)Michigan
Registered Investment Advisory firm - (12/31/2007 Failure to Renew)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
148 E Grand River Ave., Williamston, MI 48895
Mailing Address
Phone number
(517) 339-7662
Established
Firm type
Fiscal year end
# of Employees
136
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,952 |
| AUM (Assets Under Management) | $ 4,020,782,560 |
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
CG ADVISORY SERVICES
CRD#: 110929Wilmington, NC 28405TRUST BUT VERIFY
Monitor Andrew Finnegan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
