Andrew J. Stein
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.
Andrew J Stein, who also goes by Andrew Finkelstein, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 4 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2008 - June 21, 2013
NETWORK 1 FINANCIAL SECURITIES INC.
June 12, 2008 - November 3, 2008
PICKWICK CAPITAL PARTNERS, LLC
December 18, 2006 - March 30, 2007
YORK STOCKBROKERS, INC.
April 18, 2002 - November 8, 2007
ARAPAHO PARTNERS, 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
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
