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AM

Andrew A. Marquardt

Some features on this profile are disabled
CRD#: 4132843
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 Alexander Marquardt was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 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.

Blog Corner

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 1, 2019 - September 1, 2020

MIDDLEMARCH SECURITIES LLC

BD
CRD#: 283508
New York, NY
Past

March 11, 2015 - October 17, 2017

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

September 9, 2010 - November 5, 2014

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
New York, NY
Past

December 1, 2009 - June 9, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

September 30, 2005 - December 1, 2009

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

April 7, 2004 - September 22, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 18, 2003 - April 9, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 14, 2002 - March 18, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 2, 2000 - March 25, 2002

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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
RR
Series 63
Date: 11/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/25/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/28/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 9/29/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2017
General Securities Principal Examination

Current Firm

MS
MIDDLEMARCH SECURITIES LLC
MIDDLEMARCH SECURITIES LLC

CRD#: 283508 / SEC#: , 8-69758

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
700 Canal St. Building 1, Floor 1, Suite 148, Stamford, CT 06902
Mailing Address
700 Canal St. Building 1, Floor 1, Suite 148, Stamford, CT 06902
Phone number
(212) 913-9660
Established
Delaware since 02/08/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIDDLEMARCH PARTNERS LLCMEMBER
GRUTMAN, ALEXANDER MARCOCEO, MANAGER, CO-CCO, AMLCO4646171
PAPADEMETRIOU, DEMETRIS APRINCIPAL, MANAGER, CO-CCO5491585
SINGER, STEVEN FREDERICFINOP, PFO, AND POO2360737

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.

Company Information

MIDDLEMARCH SECURITIES LLC

CRD#: 283508

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