Andrew S. Fein

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 4275047

Professional summary

Andrew S Fein, who also goes by Andrew S. Fein, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 9 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew S. Fein

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) - BD

Click below to view Andrew S Fein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 20, 2013 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

April 16, 2012 - June 14, 2013

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

NEW YORK, NY

Past

March 12, 2010 - December 3, 2010

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 15, 2008 - June 3, 2009

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

September 27, 2005 - March 20, 2008

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

September 6, 2005 - September 19, 2005

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

June 3, 2004 - August 15, 2005

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

September 11, 2003 - June 4, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

November 22, 2002 - September 29, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 23, 2002 - October 25, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/8/2021)

New York
(5/20/2013)

Exams

State Security Law Exam

Series 63

Date: 6/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 5/7/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 3/30/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/22/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Andrew S. Fein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew S Fein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARDAN CAPITAL MARKETS LLC

JEFFERIES LLC

PIPER SANDLER & CO.

CANACCORD GENUITY SECURITIES LLC

BREAN MURRAY & CO., INC.

LEERINK PARTNERS LLC

J.P. MORGAN SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/2002

SIE

Date: 10/1/2018

Series 86

Date: 5/7/2005

Series 87

Date: 3/30/2005

Series 7

Date: 1/22/2002

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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