Andrew P. Serowik
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 Paul Serowik, who also goes by Andrew P Serowik, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 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
March 31, 2020 - February 4, 2022
DISTRIBUTION SERVICES, LLC
December 1, 2006 - June 6, 2018
GOLDMAN SACHS & CO. LLC
February 26, 2002 - September 26, 2002
SLK INDEX SPECIALISTS, LLC
July 24, 2001 - February 26, 2002
REDI GLOBAL TECHNOLOGIES LLC
September 20, 1999 - June 8, 2007
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 21, 1998 - October 11, 1999
UBS FINANCIAL SERVICES 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: 3/17/2024
General Securities Representative ExaminationSeries 55
Date: 9/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
