Andrew V. Kardish
Professional summary
Andrew Vincent Kardish II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Andrew had worked at 7 firms, which includes INVEST FINANCIAL CORPORATION, EMERGENT FINANCIAL GROUP INC., RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - June 10, 2011
INVEST FINANCIAL CORPORATION
October 5, 2010 - June 10, 2011
INVEST FINANCIAL CORPORATION
July 23, 2009 - October 6, 2010
EMERGENT FINANCIAL GROUP, INC.
January 2, 2009 - July 24, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 14, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 5, 2003 - July 24, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 13, 2000 - August 15, 2003
UBS FINANCIAL SERVICES INC.
November 3, 2000 - August 15, 2003
UBS FINANCIAL SERVICES INC.
March 5, 1999 - November 6, 2000
MORGAN STANLEY DW INC.
July 11, 1997 - March 2, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
Red Flags
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