Andrew W. Stapp
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 Wesley Stapp JR., who also goes by Andrew Wesley Stapp, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2003. Andrew had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2020 - December 31, 2023
COMMONWEALTH ADVISORS, INC.
September 15, 2014 - June 14, 2018
J.J.B. HILLIARD, W.L. LYONS, LLC
June 28, 2013 - June 16, 2014
MCG SECURITIES LLC
November 21, 2012 - January 2, 2013
BGB SECURITIES, INC.
September 12, 2007 - November 18, 2011
B. RILEY & CO., LLC
October 22, 2003 - April 19, 2007
COHEN & COMPANY SECURITIES, LLC
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
COMMONWEALTH ADVISORS, INC.
CRD#: 154783 / SEC#: , 8-68673
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CA HOLDING GROUP, LLC | MEMBER | |
| BYBEL, NICHOLAS JR. | CHAIRMAN, CEO, CHIEF COMPLIANCE OFFICER, AML OFFICER | |
| WEEKS, CURTIS ALLAN | FINOP, PFO, POO | 5278425 |
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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