DR
Donald H. Relyea
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CRD#: 373980
DR
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.
Donald Harold Relyea was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 1970. Donald had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 1, Series 40 and Series 12 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®
NoneExperience
Past
August 25, 2006 - October 3, 2007
ANDREW GARRETT INC.
BD
CRD#: 29931
DALLAS, TX
Past
May 17, 2002 - August 10, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
DALLAS, TX
Past
October 19, 2001 - August 10, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
DALLAS, TX
Past
May 11, 1998 - November 4, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 11, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
May 1, 1989 - August 8, 1995
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
December 22, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
December 22, 1988 - August 1, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 6, 1977 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
May 21, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
BD
CRD#: 7013
Past
March 11, 1970 - June 10, 1976
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
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".
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
RR
PC
Date: 8/29/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 2/18/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 11/1/1977
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 6/17/1976
NYSE Branch Manager ExaminationCurrent Firm
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-8833
Established
Delaware since 04/19/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
