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AL

Andre N. Lister

ACP INVESTMENT MANAGEMENT
Lihue, HI 96766
Some features on this profile are disabled
CRD#: 4405762
AL

Professional summary

Andre Nicholas Lister, AIF®, who also goes by Andre Lister, is a registered financial advisor currently at ACP INVESTMENT MANAGEMENT located in Lihue, Hawaii.

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Andre has 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Nicholas Lister'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

September 30, 2025 - Present

ACP INVESTMENT MANAGEMENT

Office #1: 1696 Haleukana Street, Lihue, HI 96766
RIA
CRD#: 338484
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

BD
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

BD
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.

BD
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.

BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/21/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2002
General Securities Representative Examination

Current Firm

AI
ACP INVESTMENT MANAGEMENT
ACP INVESTMENT MANAGEMENT | TALLUS CAPITAL ADVISORS | ADVISOR COMPLIANCE PARTNERS LLC

CRD#: 338484 / SEC#: 801-134461

RIA
Registered Investment Advisory firm - (9/29/2025 120-Day Approval)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
75-170 Hualalai Rd, Suite C209, Kailua-kona, HI 96740
Mailing Address
Phone number
(808) 657-6511
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ACP ADV 2A OCT 2025 (10/15/2025)

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

ACP INVESTMENT MANAGEMENT

CRD#: 338484Lihue, HI 96766

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