AM

Andrew J. Molot

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CRD#: 337902
AM

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 Jay Molot was a registered financial advisor .

Andrew is a previously registered financial advisor and started their career in finance in 1972. Andrew had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

June 13, 2008 - January 19, 2011

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
BOCA RATON, FL
Past

May 1, 2008 - January 19, 2011

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

April 17, 1991 - April 14, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
AVENTURA, FL
Past

September 28, 1982 - April 14, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
AVENTURA, FL
Past

November 26, 1979 - June 27, 1984

J. B. HANAUER & CO.

BD
CRD#: 6958
Past

January 2, 1976 - September 24, 1982

J. B. HANAUER & CO.

BD
CRD#: 6958
Past

February 11, 1972 - April 27, 1972

UMIC, INC.

BD
CRD#: 5974

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/1/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/1979
General Securities Principal Examination

Current Firm


SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information


Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Red Flags


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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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