Andrew J. Wajntraub
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 Joseph Wajntraub was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 3 firms and has passed the Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2016 - April 5, 2019
LBMZ SECURITIES, INC.
January 21, 2015 - February 9, 2021
ZACKS INVESTMENT MANAGEMENT, INC.
June 21, 2011 - April 14, 2014
OAK RIDGE INVESTMENTS, LLC
May 5, 2003 - May 8, 2006
OAK RIDGE INVESTMENTS, 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
Current Firm
LBMZ SECURITIES, INC.
CRD#: 7874 / SEC#: , 8-23266
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
