Andrew P. Fishbone
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 Philip Fishbone, who also goes by Andrew P Fishbone, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 6 firms and has passed the Series 63, SIE 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
July 20, 2022 - October 28, 2024
CEROS FINANCIAL SERVICES, INC.
April 15, 2009 - July 21, 2022
NATIONAL SECURITIES CORPORATION
March 29, 2005 - April 3, 2007
DAWSON JAMES SECURITIES, INC.
May 24, 2001 - March 30, 2005
NATIONAL SECURITIES CORPORATION
May 11, 2000 - May 22, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
April 15, 1999 - May 5, 2000
JWGENESIS SECURITIES, INC.
August 31, 1998 - April 16, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
August 15, 1997 - August 31, 1998
BILTMORE SECURITIES, 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
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
