Andrew J. Orton

MCGOWAN GROUP ASSET MANAGEMENT

DALLAS, TX 75201

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CRD#: 2710200

Professional summary

Andrew John Orton, CPWA® is a registered financial advisor currently at MCGOWAN GROUP ASSET MANAGEMENT, INC. located in Dallas, Texas.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

IAR OF MCGOWAN GROUP ASSET MANAGEMENT, AN UNAFFILIATED RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Orton'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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2013-11-07

Expire date: 2023-09-30

Experience

Current

December 1, 2010 - Present

MCGOWAN GROUP ASSET MANAGEMENT, INC.

Office #1: 200 Crescent Court, #657, Dallas, TX 75201

RIA

CRD#: 154127

DALLAS, TX

Past

August 3, 2010 - December 31, 2014

SPIRE SECURITIES, LLC

CRD#: 144131

DALLAS, TX

Past

October 9, 2009 - August 4, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

DALLAS, TX

Past

November 29, 2007 - October 12, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, TX

Past

May 28, 2003 - May 11, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

ROCKWALL, TX

Past

April 4, 2000 - June 5, 2000

FIRST LONDON SECURITIES CORPORATION

CRD#: 29709

DALLAS, TX

Past

June 16, 1999 - March 10, 2000

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

June 26, 1996 - July 17, 1996

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

June 26, 1996 - July 31, 1998

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

MCGOWAN GROUP ASSET MANAGEMENT, INC.

CRD#: 154127 / SEC#: 801-71582

RIA

Registered Investment Advisory firm - (7/14/2010 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(12/1/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/30/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2005

General Securities Principal Examination

Current Firm

MCGOWAN GROUP ASSET MANAGEMENT, INC.

CRD#: 154127 / SEC#: 801-71582

RIA

Registered Investment Advisory firm - (7/14/2010 Approved)

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Contact information

Main Address

300 Crescent Court #1776, Dallas, TX 75201

Mailing Address

Phone number

(214) 720-4400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/26/2025)

ADV PART 2A APPENDIX FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,050
AUM (Assets Under Management)	$ 996,742,756

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Orton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Orton's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

GUNNALLEN FINANCIAL, INC

FIRST LONDON SECURITIES CORPORATION

PROTRADER SECURITIES L.P.

PROTRADER SECURITIES L.P.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

MCGOWAN GROUP ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2010

Series 63

Date: 5/3/1996

SIE

Date: 12/31/2014

Series 55

Date: 6/30/1999

Series 7

Date: 3/4/1996

Series 24

Date: 4/4/2005

Current Firm

MCGOWAN GROUP ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCGOWAN GROUP ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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