Andrew J. Mariani
Professional summary
Andrew John Mariani was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Andrew had worked at 6 firms, which includes NEXT FINANCIAL GROUP INC., SII INVESTMENTS INC., UVEST FINANCIAL SERVICES GROUP INC., TRANSAMERICA FINANCIAL ADVISORS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2007 - November 27, 2007
NEXT FINANCIAL GROUP, INC.
November 14, 2005 - September 18, 2007
SII INVESTMENTS, INC.
October 28, 2005 - November 4, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 27, 2005 - November 4, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
April 1, 2005 - November 17, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 23, 2005 - November 17, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 29, 2000 - February 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 29, 2000 - February 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1999 - March 1, 2000
MORGAN STANLEY DW INC.
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
