Andrew D. Carava
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 Dominic Carava, who also goes by Andy Carava, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
July 6, 2021 - May 5, 2023
LASALLE ST SECURITIES, L.L.C.
March 21, 2013 - August 26, 2020
LASALLE ST SECURITIES, L.L.C.
January 14, 2008 - November 4, 2010
BREWER FINANCIAL SERVICES, LLC
July 16, 2003 - January 9, 2008
LASALLE ST SECURITIES, L.L.C.
January 30, 2001 - August 15, 2001
TD AMERITRADE, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
