Andy W. Sears
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.
Andy Wilson Sears was a registered financial professional .
Andy is a previously registered financial professional and started their career in finance in 1963. Andy had worked at 4 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 1977 - January 14, 1997
SEARS. THOMPSON INVESTMENT GROUP, INC.
June 25, 1976 - February 24, 1977
PROFESSIONAL CAPITAL MANAGEMENT, INC.
October 23, 1975 - June 25, 1976
SEARS MASSANISO ASSOCIATES INC
June 3, 1963 - August 2, 1973
REYNOLDS SECURITIES, INC.
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 1
Date: 12/2/1957
Registered Representative ExaminationF04
Date: 6/25/1975
Financial Principal ExaminationSeries 00
Date: 6/25/1975
General Securities Principal ExaminationCurrent Firm
SEARS. THOMPSON INVESTMENT GROUP, INC.
CRD#: 7351 / SEC#: , 8-21277
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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