Andrew S. Baehr
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 Saah Baehr, CFA, who also goes by Andrew S Baehr, Andrew Saah Baehr, Andrew Baehr, 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, SIE, Series 7, Series 55, Series 3, Series 23, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2014 - December 19, 2016
CREDIT SUISSE SECURITIES (USA) LLC
August 14, 2007 - April 26, 2011
BNP PARIBAS SECURITIES CORP.
May 8, 2006 - August 14, 2007
MORGAN STANLEY & CO. LLC
May 11, 2000 - May 3, 2006
DEUTSCHE BANK SECURITIES INC.
March 23, 1998 - May 24, 2000
DB ALEX. BROWN LLC
July 2, 1996 - February 24, 1998
BNP PARIBAS SECURITIES CORP.
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 55
Date: 8/16/2006
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
