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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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AW

Andrew B. Waxman

WAXMAN FINANCIAL
PARKLAND, FL
Some features on this profile are disabled
CRD#: 4286534
AW

Professional summary

Andrew Benjamin Waxman, CFP®, who also goes by Andrew B Waxman, is a registered financial advisor currently at WAXMAN FINANCIAL located in Parkland, Florida.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Andrew has worked at 8 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew B Waxman

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.
Insurance Agent - Sole Proprietor - West Palm Beach, FL - Started 10/2014 - 35 hours/month, all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Benjamin Waxman's 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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

December 8, 2014 - Present

WAXMAN FINANCIAL

RIA
CRD#: 141543
PARKLAND, FL
Past

November 6, 2012 - September 3, 2013

AMERANT INVESTMENTS, INC.

RIA
CRD#: 117284
AVENTURA, FL
Past

August 10, 2012 - September 3, 2013

AMERANT INVESTMENTS, INC.

BD
CRD#: 117284
CORAL GABLES, FL
Past

January 29, 2010 - January 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FORT LAUDERDALE, FL
Past

December 15, 2009 - January 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
FORT LAUDERDALE, FL
Past

February 2, 2007 - July 25, 2008

COMERICA SECURITIES

RIA
CRD#: 17079
FORT LAUDERDALE, FL
Past

February 1, 2007 - July 25, 2008

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

April 28, 2006 - November 6, 2006

PFIC ADVISORS, INC.

RIA
CRD#: 138007
FRANKLIN, TN
Past

January 19, 2006 - July 19, 2006

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

September 9, 2002 - November 15, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FORT LAUDERDALE, FL
Past

August 29, 2002 - November 15, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 22, 2000 - May 8, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
VIENNA, VA
Past

October 19, 2000 - May 8, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 19, 2000 - May 8, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(12/8/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2000
General Securities Representative Examination

Current Firm

WF
WAXMAN FINANCIAL
JEFFREY B. WAXMAN, INC. | WAXMAN FINANCIAL

CRD#: 141543 / SEC#:

Florida
Registered Investment Advisory firm - (2/1/2000 Approved)
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Contact information

Main Address
Parkland, FL
Mailing Address
Phone number
(954) 824-9910
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts109
AUM (Assets Under Management)$ 31,588,896

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

WAXMAN FINANCIAL

CRD#: 141543Parkland, FL

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