Andrew T. Moen

NEWMAN LADD CAPITAL ADVISORS, LLC.

Camillus, NY 13031

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CRD#: 2954195

Professional summary

Andrew T Moen, who also goes by Andrew Moen, is a registered financial advisor currently at NEWMAN LADD CAPITAL ADVISORS, LLC. located in Camillus, New York and LEIGH BALDWIN & CO., LLC located in Camillus, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Moen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew T Moen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 12, 2005 - Present

NEWMAN LADD CAPITAL ADVISORS, LLC.

Office #1: 5100 West Genesee Street, Camillus, NY 13031

RIA

CRD#: 129860

Camillus, NY

Current

January 3, 2007 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 5100 West Genesee Street, Camillus, NY 13031

RIA

CRD#: 38751

Camillus, NY

Past

December 16, 2003 - December 31, 2006

NEWMAN, LADD CAPITAL, INC.

CRD#: 38841

SYRACUSE, NY

Past

November 21, 1997 - January 21, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEWMAN LADD CAPITAL ADVISORS, LLC.

CRD#: 129860 / SEC#: 801-79297

RIA

Registered Investment Advisory firm - (3/6/2014 Approved)

Florida

Registered Investment Advisory firm - (11/7/2014 Terminated)

New York

Registered Investment Advisory firm - (11/7/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(12/22/2022)

IAR

Florida
(1/12/2005)

Florida
(1/3/2007)

Illinois
(11/12/2009)

Massachusetts
(9/28/2009)

Mississippi
(8/2/2023)

New Mexico
(8/7/2012)

New York
(1/3/2007)

IAR

New York
(7/18/2021)

North Carolina
(8/3/2018)

Pennsylvania
(3/13/2019)

South Carolina
(12/23/2013)

Texas
(8/12/2016)

IAR

Texas
(1/10/2024)

Virginia
(12/22/2022)

Wisconsin
(12/22/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEWMAN LADD CAPITAL ADVISORS, LLC.

CRD#: 129860 / SEC#: 801-79297

RIA

Registered Investment Advisory firm - (3/6/2014 Approved)

Florida

Registered Investment Advisory firm - (11/7/2014 Terminated)

New York

Registered Investment Advisory firm - (11/7/2014 Terminated)

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Contact information

Main Address

5100 West Genesee Street, Camillus, NY 13031

Mailing Address

Phone number

(315) 299-8979

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II (3/2/2026)

Regulatory assets under management

Total Number of Accounts	362
AUM (Assets Under Management)	$ 108,088,103

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.

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Firm Stability Insights

Andrew T. Moen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew T Moen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

NEWMAN, LADD CAPITAL, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

NEWMAN LADD CAPITAL ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2004

Series 63

Date: 11/19/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2009

Series 6

Date: 11/19/1997

FINRA

Current Firm

NEWMAN LADD CAPITAL ADVISORS, LLC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWMAN LADD CAPITAL ADVISORS, LLC.

TRUST BUT VERIFY

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