Andrew S. Forman
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 Samuel Forman, who also goes by Andrew S Forman, 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 63, SIE, Series 86, Series 87, 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
November 15, 2013 - April 17, 2015
ERNST & YOUNG CAPITAL ADVISORS, LLC
February 26, 2010 - November 16, 2011
WBB SECURITIES, LLC
May 10, 2005 - March 3, 2008
W.R. HAMBRECHT + CO., LLC
May 7, 2004 - June 7, 2005
ADVEST, INC.
July 9, 2001 - January 8, 2004
B. RILEY SECURITIES, INC.
June 29, 1998 - March 15, 2001
UBS SECURITIES LLC
January 14, 1997 - June 29, 1998
SBC WARBURG DILLON READ 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
Current Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
