Andrew Lias
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 Lias was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 4 firms and has passed the Series 63, Series 55, Series 62 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 8, 2011 - June 30, 2011
RUSHMORE CAPITAL, INC.
October 20, 2008 - May 18, 2009
TAFFERER TRADING, LLC
July 9, 2008 - October 21, 2008
DOMESTIC SECURITIES, INC.
December 14, 2001 - June 2, 2006
RUSHMORE CAPITAL, INC.
November 15, 2000 - June 2, 2006
DOMESTIC SECURITIES, INC.
August 29, 2000 - September 6, 2001
ALL-TECH DIRECT, 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 55
Date: 9/28/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 8/28/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
RUSHMORE CAPITAL, INC.
CRD#: 5940 / SEC#: , 8-16655
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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