Andrew J. Bakken
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Jay Bakken was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2013 - October 30, 2019
THE LEADERS GROUP, INC.
October 26, 2011 - December 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2011 - December 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 2, 2008 - September 15, 2011
P.J. ROBB VARIABLE, LLC
October 3, 2007 - December 31, 2007
UNDERWRITERS EQUITY CORPORATION
July 2, 2003 - October 31, 2005
PACKERLAND BROKERAGE SERVICES, INC.
May 6, 2002 - July 2, 2003
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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