Andre N. Lister

Lihue, HI 96766

Some features on this profile are disabled

CRD#: 4405762

Professional summary

Andre Nicholas Lister, AIF®, who also goes by Andre Lister, was a registered financial advisor .

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Andre had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andre Lister

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. 4/12/2013: A-LIST, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - For accounting purposes only. 2. 6/30/2014: Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/11/2011 - 60 Hours Per Month/40 Hours During Securities Trading - Registered as an IAR of the Hybrid RIA of Financial Advocates Investment Management to be able to charge an advisory, flat, or hourly fee. 3. 01/02/2019: Tallus Capital Advisors. investment-related- At reported business locations(s). DBA for financial planning services. Non-variable insurance. 120 hours/month, 100 during trading hours. 4. 08/18/2025: EAL Holdings LLC - Investment Related - 1309 Coffeen Ave, Ste 1200, Sheridan, WY 82801 - Holding Company - Member/Manager - 1 hr/mo - 0 hr/mo during trading hours - Accounting duties.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 30, 2025 - Present

Office #1: 1696 Haleukana Street, Lihue, HI 96766

Lihue, HI

Past

April 28, 2016 - October 15, 2018

SIGNALINE INVESTMENTS

RIA

CRD#: 282622

SEATTLE, WA

Past

May 10, 2011 - October 31, 2025

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA

CRD#: 151298

Lihue, HI

Past

October 2, 2009 - December 21, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SEATTLE, WA

Past

October 2, 2009 - January 2, 2019

LPL FINANCIAL LLC

CRD#: 6413

SEATTLE, WA

Past

May 26, 2006 - October 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

May 26, 2006 - October 5, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEATTLE, WA

Past

September 17, 2004 - May 26, 2006

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

September 17, 2004 - May 26, 2006

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

March 12, 2004 - September 17, 2004

AURA ASSET MANAGEMENT, INC.

RIA

CRD#: 129402

BELLEVUE, WA

Past

September 9, 2003 - September 17, 2004

AURA FINANCIAL SERVICES, INC.

RIA

CRD#: 42822

BIRMINGHAM, AL

Past

October 9, 2002 - September 17, 2004

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

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

Hawaii
(9/30/2025)

IAR

Washington
(9/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/21/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2002

General Securities Representative Examination

Current firm

No current employment

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.

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Andre N. Lister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNALINE INVESTMENTS

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

AURA ASSET MANAGEMENT, INC.

AURA FINANCIAL SERVICES, INC.

AURA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2002

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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