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AA

Andrew G. Adderly

BROAD STREET CAPITAL MARKETS
HOLMDEL, NJ 07733
Some features on this profile are disabled
CRD#: 4388648
AA

Professional summary

Andrew Gene Adderly is a registered financial professional currently at BROAD STREET CAPITAL MARKETS, LLC located in Holmdel, New Jersey.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 11 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Gene Adderly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 6, 2016 - Present

BROAD STREET CAPITAL MARKETS, LLC

Office #1: 101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
BD
CRD#: 104026
HOLMDEL, NJ
Past

March 3, 2015 - July 6, 2015

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

September 29, 2014 - January 4, 2016

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

January 16, 2013 - November 5, 2015

GHS TRADING LLC

BD
CRD#: 158195
NEW YORK, NY
Past

June 1, 2011 - September 29, 2014

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

May 20, 2009 - May 31, 2011

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

April 20, 2009 - May 21, 2009

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

October 24, 2008 - March 13, 2009

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
NEW YORK, NY
Past

June 26, 2007 - October 29, 2008

WEDBUSH SECURITIES INC.

BD
CRD#: 877
NEW YORK, NY
Past

March 1, 2004 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
NEW YORK, NY
Past

November 27, 2001 - February 25, 2004

UTENDAHL CAPITAL PARTNERS, L.P.

BD
CRD#: 30115
NEW YORK, NY
Past

April 24, 2001 - September 17, 2001

ZAHR SECURITIES, LLC

BD
CRD#: 47662
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/25/2016)
RR
Connecticut
(11/8/2016)
RR
Delaware
(2/28/2017)
RR
Florida
(3/31/2017)
RR
Illinois
(9/21/2016)
RR
Indiana
(6/6/2016)
RR
Massachusetts
(11/3/2016)
RR
Missouri
(9/21/2016)
RR
New Jersey
(10/19/2016)
RR
New York
(10/21/2016)
RR
Ohio
(6/6/2016)
RR
Pennsylvania
(10/19/2016)
RR
Texas
(11/7/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/30/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/23/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/6/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROAD STREET CAPITAL MARKETS, LLC
AMERICAN DIVERSIFIED FINANCIAL GROUP LLC | BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026 / SEC#: , 8-52487

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Mailing Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Phone number
(862) 367-9930
Established
Indiana since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BERGEN CAPITAL ADVISORS, LLCOWNER
ADDERLY, ANDREW GENECEO/CHIEF COMPLIANCE OFFICER4388648
RANKEL, WILLIAM EDWINFINOP/CFO2074785

Disclosures

Regulatory Event1

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

BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026Holmdel, NJ 07733

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