Andrew C. Small
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 Christopher Small, who also goes by Andy Small, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 7 firms and has passed the Series 66, SIE, Series 87, Series 79, Series 7, Series 9, Series 10, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2022 - October 7, 2022
SYMPHONIC SECURITIES LLC
February 2, 2022 - October 7, 2022
CNR SECURITIES, LLC
February 2, 2022 - October 7, 2022
CITY NATIONAL SECURITIES, INC.
March 14, 2017 - April 30, 2024
RBC CAPITAL MARKETS, LLC
May 26, 2015 - March 8, 2017
CRAIG-HALLUM CAPITAL GROUP LLC
August 21, 2003 - January 7, 2014
SCOTTRADE, INC.
August 2, 2001 - August 15, 2003
A. G. EDWARDS & SONS, INC.
September 8, 1998 - August 15, 2003
A. G. EDWARDS & SONS, 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
Series 8
Date: 11/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SYMPHONIC SECURITIES LLC
CRD#: 139512 / SEC#: , 8-67220
Contact information
Documents
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.
