Andrew T. Tanton
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 Thomas Tanton was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2002 - January 17, 2023
BROWN ADVISORY SECURITIES, LLC
January 13, 2001 - October 23, 2002
DEUTSCHE BANK SECURITIES INC.
November 26, 1999 - January 13, 2001
DB ALEX. BROWN LLC
June 14, 1999 - September 7, 1999
DEUTSCHE BANK SECURITIES INC.
September 9, 1998 - June 14, 1999
DB ALEX. BROWN 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/30/2003
Limited Representative-Equity Trader ExamCurrent Firm
BROWN ADVISORY SECURITIES, LLC
CRD#: 120736 / SEC#: 801-61427, 8-65342
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 392,032,102 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2022 | ||
| 11/24/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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