AS
Andrew B. Sosnowitz
BUTTONWOOD CAPITAL MANAGEMENT (BCM)
Scottsdale, AZ 85255
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CRD#: 3202095
AS
Professional summary
Andrew Bart Sosnowitz is a registered financial advisor currently at BUTTONWOOD CAPITAL MANAGEMENT (BCM) located in Scottsdale, Arizona and LPL FINANCIAL LLC located in Scottsdale, Arizona.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Andrew has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 8/3/2015 - BUTTONWOOD CAPITAL MANAGEMENT - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - START 05/01/2015 - 150 Hours Per Month During Securities Trading - I WILL SERVE AS AN INVESTMENT ADVISOR REPRESENTATIVE UNDER THE (BUTTONWOOD CAPITAL MANAGEMENT)RIA. 2. 2/13/2017 - Buttonwood Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2015 - 40 Hours Per Month/40 Hours During Securities Trading - Services may include brokerage related financial advisor related activities.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Bart Sosnowitz'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
May 12, 2015 - Present
BUTTONWOOD CAPITAL MANAGEMENT (BCM)
Office #1: 17550 North Perimeter Drive Suite 100, Scottsdale, AZ 85255RIA
CRD#: 174857
Scottsdale, AZ
Current
September 2, 2009 - Present
LPL FINANCIAL LLC
Office #1: 17550 N Perimeter Dr Ste 100, Scottsdale, AZ 85255-7830RIA
BD
CRD#: 6413
Scottsdale, AZ
Past
September 2, 2009 - December 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCOTTSDALE, AZ
Past
September 22, 2006 - September 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCOTTSDALE, AZ
Past
July 27, 1999 - September 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCOTTSDALE, AZ
Past
April 5, 1999 - June 18, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
BC
BUTTONWOOD CAPITAL MANAGEMENT (BCM)
BUTTONWOOD CAPITAL MANAGEMENT | BUTTONWOOD CAPITAL MANAGEMENT, LLC | BUTTONWOOD CAPITAL MANAGEMENT (BCM)
CRD#: 174857 / SEC#: 801-117678
RIA
Registered Investment Advisory firm - (11/22/2019 Approved)Arizona
Registered Investment Advisory firm - (12/12/2019 Terminated)California
Registered Investment Advisory firm - (1/11/2020 Terminated)Florida
Registered Investment Advisory firm - (12/12/2019 Terminated)Texas
Registered Investment Advisory firm - (12/12/2019 Terminated)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
Arizona(9/2/2009)
IAR
Arizona(5/12/2015)
RR
California(9/2/2009)
RR
Delaware(6/7/2023)
RR
Florida(9/2/2009)
RR
Missouri(10/29/2021)
RR
Nevada(1/23/2024)
RR
New Hampshire(1/2/2020)
RR
New Jersey(1/23/2024)
RR
Pennsylvania(1/23/2024)
IAR
Texas(1/3/2023)
RR
Virginia(1/23/2024)
RR
Washington(1/31/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BUTTONWOOD CAPITAL MANAGEMENT (BCM)
BUTTONWOOD CAPITAL MANAGEMENT | BUTTONWOOD CAPITAL MANAGEMENT, LLC | BUTTONWOOD CAPITAL MANAGEMENT (BCM)
CRD#: 174857 / SEC#: 801-117678
RIA
Registered Investment Advisory firm - (11/22/2019 Approved)Arizona
Registered Investment Advisory firm - (12/12/2019 Terminated)California
Registered Investment Advisory firm - (1/11/2020 Terminated)Florida
Registered Investment Advisory firm - (12/12/2019 Terminated)Texas
Registered Investment Advisory firm - (12/12/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17550 North Perimeter Drive Suite 100, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 305-2105
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 816 |
| AUM (Assets Under Management) | $ 314,800,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
