AP
Andrew V. Pool
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
METAIRIE, LA 70001
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CRD#: 4340564
AP
Professional summary
Andrew Valentine Pool is a registered financial advisor currently at REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. located in Metairie, Louisiana.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Andrew has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) OWNER OF FOUR BUILDINGS, FOR A TOTAL OF NINE RENTAL PROPERTIES. NON-INVESTMENT RELATED. (2) OWNER AND TRADESMEN IN CONSTRUCTION AND REMODELING BUSINESS. DUTIES: MEET WITH CLIENTS ABOUT SCOPE OF CONSTRUCTION WORK, PROVIDE ESTIMATES, ACCUMULATE MATERIALS, ARRANGE WORK DATES, CONSTRUCTION AND REMODELING. NON-INVESTMENT RELATED. START DATE: 2019. DEVOTE APPROX 8-16 HOURS PER MONTH, APPROX 1 HR PER 6 MONTHS DURING TRADING HOURS. ADDRESS: 22192 SAINT AMAND ST., COVINGTON, LA 70435
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Valentine Pool'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®
NoneExperience
Current
July 1, 2004 - Present
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
Office #1: 2121 N. Causeway Blvd. Suite 257, Metairie, LA 70001RIA
CRD#: 113181
METAIRIE, LA
Past
October 23, 2001 - November 1, 2002
WADDELL & REED
RIA
CRD#: 866
METAIRIE, LA
Past
February 7, 2001 - November 1, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RR
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. | YOUR FINANCIAL COACHES
CRD#: 113181 / SEC#: 801-60383
RIA
Registered Investment Advisory firm - (7/3/2001 Approved)Louisiana
Registered Investment Advisory firm - (7/3/2001 Cancelled)New York
Registered Investment Advisory firm - (4/20/2007 Cancelled)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
Louisiana(7/1/2004)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
RR
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. | YOUR FINANCIAL COACHES
CRD#: 113181 / SEC#: 801-60383
RIA
Registered Investment Advisory firm - (7/3/2001 Approved)Louisiana
Registered Investment Advisory firm - (7/3/2001 Cancelled)New York
Registered Investment Advisory firm - (4/20/2007 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6620 Riverside Drive Suite 207, Metairie, LA 70003
Mailing Address
17425 Jefferson Hwy Ste C, Baton Rouge, LA 70817
Phone number
(504) 831-4636
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,399 |
| AUM (Assets Under Management) | $ 188,472,996 |
Red Flags
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Company Information
REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.
CRD#: 113181Metairie, LA 70001TRUST BUT VERIFY
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