Andrew P. Phelps
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 Patrick Phelps, who also goes by Andrew Phelps, Andy Phelps, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - September 20, 2017
NATIXIS SECURITIES AMERICAS LLC
March 4, 2010 - July 24, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 2, 2009 - March 4, 2010
FSI SECURITIES, LLC
March 25, 2004 - March 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 1998 - March 11, 2004
GOLDMAN SACHS & CO. 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
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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