Andrew J. Soter
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 James Soter was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1968. Andrew had worked at 5 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - September 17, 2016
ANDREW SOTER INVESTMENT CONSULTANTS
September 6, 1990 - August 29, 1995
FIRST AFFILIATED SECURITIES
February 24, 1978 - September 14, 1988
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/30/1959
Registered Representative ExaminationSeries 40
Date: 9/23/1968
Registered Principal ExaminationCurrent Firm
ANDREW SOTER INVESTMENT CONSULTANTS
CRD#: 112803 / SEC#: 801-62964
Contact information
Red Flags
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