Andrew T. Whittaker
Professional summary
Andrew Tryon Whittaker, who also goes by Andrew T Whittaker, is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 55, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Tryon Whittaker's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2024 - Present
KINGSROCK SECURITIES LLC
Office #1: 900 Third Avenue - Suite 1801, New York, NY 10022February 15, 2017 - May 24, 2021
LAZARD FRERES & CO. LLC
February 11, 2009 - May 2, 2013
IBKR SECURITIES SERVICES LLC
July 12, 2007 - December 31, 2008
GOLDMAN SACHS & CO. LLC
June 21, 1999 - May 3, 2006
LEHMAN BROTHERS INC.
April 17, 1998 - June 2, 1999
J.P. MORGAN SECURITIES LLC
July 24, 1997 - May 28, 1998
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 79TO
Date: 3/27/2024
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/27/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
KINGSROCK SECURITIES LLC
CRD#: 325143 / SEC#: , 8-71064
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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