Andrew D. Hampf
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 David Hampf, who also goes by Andrew D Hampf, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 10 firms and has passed the Series 66, Series 63, Series 3, Series 55, Series 7, Series 6, Series 53, Series 4 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
May 15, 2012 - December 21, 2012
WALNUT STREET SECURITIES, INC.
September 26, 2011 - November 15, 2011
USCA SECURITIES LLC
April 15, 2011 - May 22, 2012
FAMILYWEALTH ASSET MANAGEMENT
April 15, 2011 - May 22, 2012
AUSTIN CAPITAL CONSULTING, LLC
July 12, 2010 - March 1, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2010 - March 1, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2004 - May 28, 2010
KESTRA INVESTMENT SERVICES, LLC
June 20, 2003 - November 10, 2003
ELECTRONIC TRADING GROUP, LLC
March 26, 2001 - March 7, 2002
TRANSCEND CAPITAL
June 16, 2000 - June 19, 2003
PROTRADER SECURITIES L.P.
June 22, 1999 - January 27, 2000
JANUS HENDERSON DISTRIBUTORS US 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 55
Date: 10/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
