Andrew P. Vanderploeg
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 Peter Vanderploeg, who also goes by Andy Vanderploeg, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1969. Andrew had worked at 8 firms and has passed the Series 63, Series 55, Series 1, Series 4, Series 24 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 1992 - January 20, 2012
WILSON-DAVIS & CO., INC.
June 4, 1990 - May 22, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
September 27, 1988 - June 4, 1990
TAMARON INVESTMENTS, INC.
December 12, 1986 - May 22, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
June 11, 1984 - December 9, 1986
WILLIAM BARTON FINANCIAL, INC.
March 21, 1983 - September 4, 1984
J. W. GANT & ASSOCIATES, INC.
April 28, 1981 - May 20, 1983
VANTAGE SECURITIES OF COLORADO, INC.
November 1, 1971 - February 22, 1980
PIEDMONT CAPITAL CORPORATION
August 20, 1969 - November 1, 1971
PIEDMONT INTERNATIONAL, LTD.
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
Series 55
Date: 10/10/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 11/27/1967
Registered Representative ExaminationF04
Date: 2/11/1981
Financial Principal ExaminationCurrent Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
Red Flags
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