Andrew Levey
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 Levey, who also goes by A A Levey, Andrew A Levey, Drew Levey, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 11 firms and has passed the Series 63, 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
March 20, 2020 - January 11, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
August 14, 2019 - October 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2017 - July 15, 2019
PARK AVENUE SECURITIES LLC
January 5, 2015 - March 26, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
May 15, 2013 - January 5, 2015
W.A. CAPITAL MARKETS
March 25, 2013 - April 29, 2013
BRAVER STERN SECURITIES LLC
December 19, 2011 - November 28, 2012
LOUIS CAPITAL MARKETS, LLC
December 1, 2003 - December 20, 2011
GFI SECURITIES LLC
December 17, 2001 - December 17, 2003
INTER-DEALER BROKERS LLC
September 23, 1998 - August 22, 2001
TUCKER ANTHONY INCORPORATED
May 28, 1997 - August 11, 1998
MAY, DAVIS GROUP 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
Series 55
Date: 3/7/2002
Limited Representative-Equity Trader ExamCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
