Andrew D. Mcormond
Professional summary
Andrew Day Mcormond is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Boca Raton, Florida.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Day Mcormond's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2008 - Present
WALLACHBETH CAPITAL LLC
Office #1: 1001 Yamato Road, Suite 404, Boca Raton, FL 33431January 11, 2007 - December 22, 2008
FM BROKERAGE, L.L.C.
July 16, 2004 - August 13, 2009
LEK SECURITIES CORPORATION
October 28, 2003 - January 3, 2007
PROGRESSIVE SECURITIES CORP.
May 10, 2001 - May 8, 2002
LABRANCHE FINANCIAL SERVICES, LLC
January 25, 2001 - May 8, 2002
BAY CREST PARTNERS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/21/2014)
(8/28/2009)
(6/29/2009)
(6/25/2021)
(8/11/2009)
(6/24/2016)
(8/11/2009)
(9/1/2009)
(2/25/2010)
(1/21/2014)
(1/21/2014)
(1/21/2014)
(1/21/2014)
(7/1/2009)
(8/11/2009)
(1/21/2014)
(1/21/2014)
(1/21/2014)
(8/11/2009)
(12/12/2008)
(8/26/2009)
(11/13/2009)
(1/21/2014)
(3/4/2009)
(1/21/2022)
(9/1/2009)
(1/21/2014)
(1/21/2014)
(2/3/2009)
(1/21/2014)
(1/21/2014)
(1/21/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/29/2009
Limited Representative-Equity Trader ExamSeries 25
Date: 6/14/2001
NYSE Trading Assistant ExaminationFINRA
Nasdaq Stock Market
Current Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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Company Information
WALLACHBETH CAPITAL LLC
CRD#: 147853Boca Raton, FL 33431TRUST BUT VERIFY
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