Andrew J. Burguiere
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 J Burguiere was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 3 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
April 3, 2020 - August 11, 2021
NATALLIANCE SECURITIES, LLC
September 14, 2009 - April 18, 2018
WELLS FARGO SECURITIES, LLC
January 14, 2005 - June 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2003 - June 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2000 - January 29, 2003
SANFORD C. BERNSTEIN & CO., LLC
June 12, 1996 - December 7, 2000
SANFORD C. BERNSTEIN & CO., 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 7TO
Date: 2/14/2024
General Securities Representative ExaminationSeries 99TO
Date: 2/14/2024
Operations Professional ExaminationSeries 57TO
Date: 2/14/2024
Securities Trader ExamCurrent Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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