Andrew T. Mcnamara
Professional summary
Andrew Thomas Mcnamara was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Andrew had worked at 3 firms, which includes LEGG MASON WOOD WALKER INCORPORATED, CITIGROUP GLOBAL MARKETS INC., BIRCHTREE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1999 - February 21, 2001
LEGG MASON WOOD WALKER, INCORPORATED
October 23, 1996 - July 20, 1999
CITIGROUP GLOBAL MARKETS INC.
August 15, 1996 - October 3, 1996
BIRCHTREE FINANCIAL SERVICES LLC
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
Current Firm
LEGG MASON WOOD WALKER, INCORPORATED
CRD#: 6555 / SEC#: , 8-15939
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 45 |
Red Flags
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