Andrew P. Chica
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 Paul Chica, who also goes by Andy Chica, Drew Chica, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 62, Series 6 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
August 13, 2008 - December 31, 2020
HATTERAS CAPITAL DISTRIBUTORS, LLC
October 23, 1998 - March 3, 2000
ROBERT W. BAIRD & CO. INCORPORATED
October 20, 1998 - March 3, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 99TO
Date: 10/7/2022
Operations Professional ExaminationSeries 62
Date: 8/12/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
HATTERAS CAPITAL DISTRIBUTORS, LLC
CRD#: 143365 / SEC#: , 8-67555
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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