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AH

Andrew C. Hyer

NASDAQ CAPITAL MARKETS ADVISORY LLC
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 4431284
AH

Professional summary

Andrew Charles Hyer, CFP®, CIMA® is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in Pasadena, California.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 3 firms and has passed the Series 65, Series 7TO, SIE and Series 24 exams.

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 Charles Hyer'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®
CFP®

Certified Financial Planner

CIMA®

Certified Investment Management Analyst

Experience

Current

April 6, 2021 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 790 E. Colorado Blvd Suite 505, Pasadena, CA 91101
BD
CRD#: 104295
Pasadena, CA
Past

January 1, 2021 - December 13, 2021

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

December 16, 2004 - December 31, 2025

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA
CRD#: 104925
PASADENA, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/15/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/18/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

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

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295Pasadena, CA 91101

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