Andrew Cary
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 Cary, who also goes by Andrew George Cary, Drew Cary, Andrew G Cary, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 19 firms and has passed the Series 66, Series 63, Series 65, Series 52TO, Series 99TO, 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
January 12, 2024 - April 21, 2026
PERSHING LLC
January 12, 2024 - April 21, 2026
PERSHING ADVISOR SOLUTIONS LLC
September 27, 2022 - November 8, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 8, 2022 - November 8, 2022
FIDELITY BROKERAGE SERVICES LLC
May 14, 2019 - October 7, 2021
AMERIVET SECURITIES, INC.
September 11, 2017 - March 25, 2019
IFS SECURITIES
August 16, 2016 - January 27, 2017
CG CAPITAL MARKETS, LLC
April 7, 2016 - August 19, 2016
BIC DISTRIBUTORS, LLC
August 15, 2014 - December 4, 2014
ACADEMY SECURITIES, INC.
September 18, 2012 - May 9, 2013
KOTA GLOBAL SECURITIES INC.
April 14, 2011 - September 5, 2012
TOUSSAINT CAPITAL PARTNERS, LLC
June 8, 2009 - August 23, 2010
SARATOGA CAPITAL MARKETS
July 10, 2007 - March 25, 2008
BNY MELLON SECURITIES CORPORATION
May 24, 2006 - November 17, 2006
STERNE, AGEE & LEACH, INC.
May 10, 2005 - June 13, 2006
BANC OF AMERICA SECURITIES LLC
September 10, 2004 - March 24, 2005
CAROLINA CAPITAL MARKETS, INC.
June 2, 2003 - May 17, 2004
DEBTTRADERS, INC.
September 25, 2001 - December 4, 2002
BEAR STEARNS ASSET MANAGEMENT INC.
April 15, 1998 - December 4, 2002
J.P. MORGAN SECURITIES 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
Series 52TO
Date: 1/25/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
