AT
Andrew J. Thaler
NIKKO ALTERNATIVE ASSET MANAGEMENT
NEW YORK, NY 10158
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CRD#: 3139023
AT
Professional summary
Andrew J Thaler, who also goes by Andrew James Thaler, is a registered financial advisor currently at NIKKO ALTERNATIVE ASSET MANAGEMENT, INC. located in New York, New York and FORESIDE FUND SERVICES, LLC located in New York, New York.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew James Thaler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Amova Asset Management Americas, Inc., Investment Related, New York, NY, Senior Vice President, Institutional Sales & Marketing, Began 05/30/2017, Support business development, delivery of products and services to institutional client base; 160 hours per month, 130 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew J Thaler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 25, 2019 - Present
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
Office #1: 605 Third Avenue 38th Floor, New York, NY 10158RIA
CRD#: 824
NEW YORK, NY
Current
June 21, 2017 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 605 Third Avenue 38th Floor, New York, NY 10158BD
CRD#: 46106
New York, NY
Past
February 23, 2010 - June 16, 2016
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - June 16, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
January 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
AMOVA ASSET MANAGEMENT AMERICAS, INC. | THE NIKKO SECURITIES CO. INTERNATIONAL, INC. | NIKKO ASSET MANAGEMENT AMERICAS, INC. | NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
CRD#: 824 / SEC#: 801-60881, 8-17611
RIA
Registered Investment Advisory firm - SEC (5/22/2002 Approved)BD
Terminated by SEC on 08/30/2005
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/7/2021)
RR
Alaska(7/7/2021)
RR
Arizona(7/7/2021)
RR
Arkansas(7/7/2021)
IAR
California(7/31/2019)
RR
California(7/7/2021)
RR
Colorado(7/7/2021)
RR
Connecticut(7/7/2021)
RR
Delaware(7/7/2021)
RR
District of Columbia(7/7/2021)
RR
Florida(7/7/2021)
RR
Georgia(7/7/2021)
RR
Hawaii(7/7/2021)
RR
Idaho(7/7/2021)
RR
Illinois(7/7/2021)
RR
Indiana(7/7/2021)
RR
Iowa(7/7/2021)
RR
Kansas(7/7/2021)
RR
Kentucky(7/7/2021)
RR
Louisiana(7/7/2021)
RR
Maine(7/7/2021)
RR
Maryland(7/7/2021)
RR
Massachusetts(7/7/2021)
RR
Michigan(7/7/2021)
RR
Minnesota(7/7/2021)
RR
Mississippi(7/7/2021)
RR
Missouri(7/7/2021)
RR
Montana(7/7/2021)
RR
Nebraska(7/7/2021)
RR
Nevada(7/7/2021)
RR
New Hampshire(7/7/2021)
RR
New Jersey(7/7/2021)
RR
New Mexico(7/7/2021)
RR
New York(6/21/2017)
RR
North Carolina(7/7/2021)
RR
North Dakota(7/7/2021)
RR
Ohio(7/8/2021)
RR
Oklahoma(7/7/2021)
RR
Oregon(7/7/2021)
RR
Pennsylvania(7/7/2021)
RR
Rhode Island(7/7/2021)
RR
South Carolina(7/7/2021)
RR
South Dakota(7/7/2021)
RR
Tennessee(7/7/2021)
RR
Texas(7/7/2021)
RR
Utah(7/7/2021)
RR
Vermont(7/7/2021)
RR
Virginia(7/7/2021)
RR
Washington(7/7/2021)
RR
West Virginia(7/7/2021)
RR
Wisconsin(7/7/2021)
IAR
Wyoming(8/1/2019)
RR
Wyoming(7/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
AMOVA ASSET MANAGEMENT AMERICAS, INC. | THE NIKKO SECURITIES CO. INTERNATIONAL, INC. | NIKKO ASSET MANAGEMENT AMERICAS, INC. | NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
CRD#: 824 / SEC#: 801-60881, 8-17611
RIA
Registered Investment Advisory firm - SEC (5/22/2002 Approved)BD
Terminated by SEC on 08/30/2005
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Contact information
Main Address
605 Third Avenue 38th Floor, New York, NY 10158
Mailing Address
Phone number
(212) 610-6100
Established
Delaware since 01/25/1972
Firm type
Corporation
Fiscal year end
March
# of Employees
28
SEC notice filing (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NIKKO AMERICAS HOLDING CO., INC. | OWNER | |
| DANIELLO, JOHN GERARD MR. | DIRECTOR | 4582625 |
| HODERMARSKY, PAUL JAMES | SVP, CFO | 1072237 |
| LEE, JEFF YIMYU | EXECUTIVE VICE PRESIDENT | 2519049 |
| MENDOLA, JOSEPH ANGELO | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR | 2876577 |
| STEGLITZ, MARC HARRY | DIRECTOR | |
| TSUJIMURA, HIROKI | PRESIDENT AND CEO | 2302926 |
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 9,037,916,729 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
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.
