Andrew R. Eisen
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 Robert Eisen was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 9 firms and has passed the Series 63, SIE, Series 55, 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
August 12, 2019 - March 4, 2024
STRATCAP SECURITIES, LLC
November 29, 2018 - July 11, 2019
ORCHARD SECURITIES, LLC
January 10, 2017 - November 2, 2018
RESOURCE SECURITIES LLC
March 4, 2009 - January 9, 2017
ANTHEM SECURITIES, INC.
August 6, 2004 - February 26, 2008
DAWSON JAMES SECURITIES, INC.
April 8, 2003 - October 26, 2004
VIEWTRADE FINANCIAL
October 23, 2002 - January 2, 2003
STG SECURE TRADING GROUP, INC.
December 3, 2001 - June 14, 2002
FIRST NEW YORK SECURITIES L.L.C.
April 6, 1999 - May 9, 2001
KNIGHT CAPITAL AMERICAS, L.P.
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 55
Date: 6/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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