Andrew B. Simonetti
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 Bartholomeo Simonetti, AIF®, who also goes by Andrew B Simonetti, Andrew Bartholemew Simonetti, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2012 - February 17, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
April 5, 2011 - December 9, 2011
QUASAR DISTRIBUTORS, LLC
January 20, 2011 - August 18, 2026
ENVESTNET PORTFOLIO SOLUTIONS, INC.
February 1, 2008 - January 11, 2010
PUTNAM INVESTMENT MANAGEMENT, LLC
November 14, 2006 - January 28, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
July 8, 2005 - January 11, 2010
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 15, 2002 - September 28, 2004
MML DISTRIBUTORS, LLC
December 1, 1997 - December 20, 2001
MFS FUND DISTRIBUTORS, 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
What does exam status mean?
Series 6
Passed: 11/28/1997
Current Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
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.
