Andre E. Stokes
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.
Andre Edward Stokes was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1998. Andre had worked at 6 firms and has passed the Series 63, SIE 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
October 14, 2011 - December 22, 2014
FALLBROOK CAPITAL SECURITIES CORP.
May 14, 2007 - July 23, 2010
CREDIT SUISSE SECURITIES (USA) LLC
December 12, 2006 - May 9, 2007
LADENBURG THALMANN & CO. INC.
October 7, 2002 - February 3, 2003
J.P. MORGAN SECURITIES LLC
June 23, 1999 - April 25, 2001
J.P. MORGAN SECURITIES LLC
January 14, 1998 - July 2, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 14, 1998 - July 2, 1999
OSAIC FA, 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
Current Firm
FALLBROOK CAPITAL SECURITIES CORP.
CRD#: 101180 / SEC#: , 8-52068
Contact information
FINRA licenses (25 States and Territories)
Documents
Red Flags
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