Andrew G. Racz
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 George Racz was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1970. Andrew had worked at 14 firms and has passed the Series 63, Series 000, Series 1 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
June 7, 1995 - March 9, 1998
BISHOP, ROSEN & CO., INC.
May 31, 1994 - October 21, 1994
THE WELLINGTON GROUP, INC.
October 27, 1993 - May 11, 1994
THE STAMFORD COMPANY, INC.
February 14, 1992 - April 7, 1993
EMANUEL AND COMPANY
August 22, 1990 - October 16, 1991
BISHOP, ROSEN & CO., INC.
December 4, 1987 - July 18, 1990
BAIRD, PATRICK & CO., INC.
November 27, 1987 - December 8, 1987
GRUNTAL & CO., L.L.C.
June 14, 1985 - November 5, 1987
PHILIPS, APPEL & WALDEN, INC.
April 5, 1984 - June 19, 1985
ROONEY, PACE INC.
March 10, 1983 - April 2, 1984
KUHNS BROTHERS & LAIDLAW, INC.
February 10, 1983 - March 17, 1983
MULLER AND COMPANY, INC.
August 2, 1982 - March 15, 1983
PHILIPS, APPEL & WALDEN, INC.
July 17, 1981 - December 10, 1982
A. RACZ & CO., INC.
December 22, 1980 - October 20, 1983
ROONEY, PACE INC.
May 9, 1974 - August 1, 1981
PHILIPS, APPEL & WALDEN, INC.
March 1, 1973 - May 11, 1974
BRUNS, NORDEMAN, REA & CO.
July 6, 1972 - April 8, 1973
B W A INC
July 26, 1971 - July 5, 1972
PHILIPS, APPEL & WALDEN, INC.
July 8, 1970 - August 8, 1971
SARTORIUS & CO.
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 000
Date: 8/24/1964
General Securities Principal ExaminationSeries 1
Date: 8/24/1964
Registered Representative ExaminationCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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.
