AB
Andrew A. Britton
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CRD#: 4748207
AB
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 Alstrin Britton, who also goes by Andrew A Britton, Andrew Britton, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2004. Andrew had worked at 1 firm and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew A Britton | Andrew Britton
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.
I*374647 For profit or not for profit: Entity For Profit Name of outside business organization: Tigger, Inc. Defined Benefit Plan (DBP) Investment related: Y Address of business: Austin, Texas, 78763 Nature of business: ["Corporation"] Position, title, association: ["Other"], Start date of relationship: 12/23/2015 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Family Held Successor trustee, Successor trustee. Also Beneficiary of plan. LIMITED PARTNER IN FAMILY BUSINESS. NO OPERATING CONTROL. THIS WAS DISCUSSED WHEN I WAS HIRED AS WELL IN MY FILE. THESE ALL RELATED TO ESTATE PLANNING DONE BY MY PARENTS AND REPRESENT ENTITIES OVER WHICH I HAVE NO CONTROL. I AM THE EXECUTOR OF THE WILL FOR [REDACTED] AND HOLD HIS FINANCIAL AND MEDICAL POWER OF ATTORNEY FOR USE IN EMERGENCIES.; BRITTON GREY DESIGN, LLC LOCATED IN DENVER, CO 80209; OWNER OF INTERIOR DESIGN AND ARCHITECTURAL LANDSCAPE FIRM. DAVID IS A DESIGNER AND WILL HANDLE THE WORK. MY ROLE IS TO MANAGE THE ACCOUNTING BOOKS. WE WILL OWN THE ENTITY 50/50 EFFECTIVE 05/21/2010; I*89328,For-Profit Organization, 5B Partnership, Ltd., N, Austin, Texas 78763,Family Business,N, Family Held, 12/23/2015, 1 hour(s) Annually, 0, Vice President of family partnership I*89330, For-Profit Organization, Galveston International Ltd, N, Austin, Texas 78763, Family Business, N, Family Held, 12/23/2015, 1 hour(s) Annually, 0, Vice President of family company I*89331 For-Profit Organization Professional Lazer Graphix, Ltd N Austin, Texas 78763 Family Business, Family Held, 12/23/2015 1 hour(s) Annually 0 Vice President of family company I*89324 Non-Profit Organization Sacre Family Foundation, Inc. N Austin, Texas 78763 Family Business, N Fami I*89325, For-Profit Organization, Tigger, Inc, N, Austin, Texas 78763, Family Business, N, Family Held, 12/23/2015, 1 hour(s) Annually, 0, Director and Vice President of family company I*442863 For profit or not for profit: Entity For Profit Name of outside business organization: Britton Grey Design, LLC Investment related: N Address of business: Dallas, Texas, 75220 Nature of business: ["Limited Liability Company"] Position, title, association: ["Officer","Director","Owner"], Start date of relationship: 6/1/2010 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , My partner (David Grey) and I want to start an interior design and architectural landscape firm. David is a designer and will handle the work. My role is to manage the accounting books, invoices, etc... We will own the entity 50/50. I*126700 For profit or not for profit: For-Profit Organization Name of outside business organization: Tigger, Inc. 401K Plan Investment related: Y Address of business: Austin, Texas 78763 Nature of business: Family Business, Position, title, association: , Start date of relationship: 1/1/2019 Number of hours devoted: 3 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: Family is terminating pension plan. As part of that, will roll distribution for father, Ronald Britton, into a new 401K. Plan is not yet set up but will have effective date of plan is 1/1/19 although rollover will not happen until after 12/1/19. I*374632 For profit or not for profit: Entity For Profit Name of outside business organization: GSG Energy Crop Investment related: N Address of business: Austin, Texas, 78763 Nature of business: ["S Corporation"] Position, title, association: ["Officer","Director","Owner"], Start date of relationship: 12/23/2015 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Director & Vice President of Family company. handle financials on Quicken, work with CPA on tax returns, work with FA on investments, handle any business decisions with my sister (other 50% owner) that arise. I*374644 For profit or not for profit: Name of outside business organization: Rohill Operating Co, Ltd Inv
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 14, 2004 - September 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
March 25, 2004 - September 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
