AM
Andrew T. Moen
NEWMAN LADD CAPITAL ADVISORS.
Camillus, NY 13031
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CRD#: 2954195
AM
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.
MOEN & THURSTON; ATTORNEYS AT LAW; NOT INVEST RELATED; PARTNER; 80 HRS/MONTH DURING TRADING INSURANCE; LIFE & HEALTH AND LONG TERM CARE; NOT INVEST RELATED; REP; DURING TRADING HRS AND THEY VARY. Registered Representative; Leigh Baldwin & Co., LLC; Investment Related: Yes; Location: 112 Albany Street Cazenovia, NY 13035; Description of the business: Oversight of brokerage accounts and placing trades as appropriate; Start date with business: 2007-01-03; Hours devoted to business during trading hours: 8; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 5;
CRS (Client Relationship Summary) - RIA
Click below to view Andrew T Moen's 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®
NoneExperience
Current
January 12, 2005 - Present
NEWMAN LADD CAPITAL ADVISORS, LLC.
Office #1: 5100 West Genesee Street, Camillus, NY 13031RIA
CRD#: 129860
Camillus, NY
Current
January 3, 2007 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 5100 West Genesee Street, Camillus, NY 13031RIA
BD
CRD#: 38751
Camillus, NY
Past
December 16, 2003 - December 31, 2006
NEWMAN, LADD CAPITAL, INC.
BD
CRD#: 38841
SYRACUSE, NY
Past
November 21, 1997 - January 21, 2004
NEW ENGLAND SECURITIES
BD
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".
NL
NEWMAN LADD CAPITAL ADVISORS, LLC.
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)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.RR
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
RR
Connecticut(12/22/2022)
IAR
Florida(1/12/2005)
RR
Florida(1/3/2007)
RR
Illinois(11/12/2009)
RR
Massachusetts(9/28/2009)
RR
Mississippi(8/2/2023)
RR
New Mexico(8/7/2012)
RR
New York(1/3/2007)
IAR
New York(7/18/2021)
RR
North Carolina(8/3/2018)
RR
Pennsylvania(3/13/2019)
RR
South Carolina(12/23/2013)
RR
Texas(8/12/2016)
IAR
Texas(1/10/2024)
RR
Virginia(12/22/2022)
RR
Wisconsin(12/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NL
NEWMAN LADD CAPITAL ADVISORS, LLC.
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)Upgrade to AdvisorCheck Premium
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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
2
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 355 |
| AUM (Assets Under Management) | $ 93,081,057 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEWMAN LADD CAPITAL ADVISORS, LLC.
CRD#: 129860Camillus, NY 13031TRUST BUT VERIFY
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