RA
Richard T. Andrews
ADVOCATE INVESTING SERVICES
WOODBINE, MD 21797
Some features on this profile are disabled
CRD#: 2735508
RA
Professional summary
Richard Thomas Andrews is a registered financial advisor currently at ADVOCATE INVESTING SERVICES located in Woodbine, Maryland and LPL FINANCIAL LLC located in Woodbine, Maryland.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.
(1) 10/15/2012: ANDREWS WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)
(2) 10/04/2016: ADVOCATE INVESTING SERVICES - Registered Investment Advisor Hybrid - DBA: (Hybrid) ADVOCATE INVESTING SERVICES - INV REL - 5168 MOUNTAIN ROAD PASADENA,MD. 21122 - Start 04/01/2016 - 160 Hr/Mo; 160 Hours During Securities Trading - I provide investment advisory services through Advocate Investing Services, an independent investment advisor firm. I started this business activity in August 2016. I expect to spend approximately 160 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.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Thomas Andrews'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
August 2, 2016 - Present
ADVOCATE INVESTING SERVICES
Office #1: 15949 Frederick Road, Woodbine, MD 21797RIA
CRD#: 273035
WOODBINE, MD
Current
April 22, 2005 - Present
LPL FINANCIAL LLC
Office #1: 15949 Frederick Road, Woodbine, MD 21797RIA
BD
CRD#: 6413
WOODBINE, MD
Past
April 22, 2005 - January 19, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PASADENA, MD
Past
August 29, 2002 - May 11, 2005
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
GLEN BURNIE, MD
Past
October 9, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
October 9, 2001 - May 11, 2005
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
August 3, 2001 - October 11, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 3, 2001 - October 11, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 1, 1998 - August 13, 2001
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
May 16, 1996 - August 13, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)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
Florida(4/27/2012)
RR
Maine(4/5/2017)
RR
Maryland(4/22/2005)
IAR
Maryland(8/2/2016)
RR
Pennsylvania(3/4/2020)
RR
South Carolina(8/24/2007)
RR
West Virginia(4/22/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)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
15949 Frederick Road, Woodbine, MD 21797
Mailing Address
Phone number
(240) 403-0039
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 339 |
| AUM (Assets Under Management) | $ 154,494,351 |
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
ADVOCATE INVESTING SERVICES
CRD#: 273035Woodbine, MD 21797TRUST BUT VERIFY
Monitor Richard Andrews
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
