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AF

Andrew B. Fineberg

LCT CAPITAL
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 4732991
AF

Professional summary

Andrew Brian Fineberg is a registered financial professional currently at LCT CAPITAL, LLC located in Menlo Park, California.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 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 Brian Fineberg'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®
None

Experience

Current

October 11, 2024 - Present

LCT CAPITAL, LLC

Office #1: 3555 Alameda Del Las Pulgas Suite 207, Menlo Park, CA 94025
BD
CRD#: 154233
Menlo Park, CA
Past

April 1, 2021 - June 20, 2023

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

May 29, 2012 - March 15, 2021

MTS SECURITIES, LLC

BD
CRD#: 104059
NEW YORK, NY
Past

December 14, 2010 - May 15, 2012

FINANCIAL WEST GROUP

BD
CRD#: 16668
NEW YORK, NY
Past

June 28, 2006 - February 17, 2009

COWEN AND COMPANY

BD
CRD#: 7616
SAN FRANCISCO, CA
Past

December 19, 2003 - August 11, 2006

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/11/2024)
RR
Illinois
(10/11/2024)
RR
Massachusetts
(10/11/2024)
RR
New York
(10/11/2024)
RR
Oklahoma
(10/11/2024)
RR
Pennsylvania
(10/11/2024)
RR
Texas
(10/11/2024)
RR
Utah
(10/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/24/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/15/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/10/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LCT CAPITAL, LLC
LCT CAPITAL, LLC | LCT SECURITIES, LLC

CRD#: 154233 / SEC#: , 8-68620

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
80 Pascal Ln, Austin, TX 78746
Mailing Address
80 Pascal Ln, Austin, TX 78746
Phone number
(512) 291-6038
Established
Delaware since 04/26/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TALARICO, LOUIS CARMINO IIIOWNER, PRESIDENT2663803
CORBETT, JOSHUA HUTCHINSCCO3072135
GOODIN, DIANE MARIEFINOP

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

LCT CAPITAL, LLC

CRD#: 154233Menlo Park, CA 94025

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