Andy E. Yurowitz
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.
Andy E Yurowitz was a registered financial professional .
Andy is a previously registered financial professional and started their career in finance in 1968. Andy had worked at 7 firms and has passed the Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2005 - October 22, 2015
J.H. DARBIE & CO., INC.
July 18, 2002 - March 6, 2003
RYAN BECK & CO.
April 29, 2002 - March 6, 2003
RYAN BECK & CO.
March 11, 1998 - May 20, 2002
GRUNTAL & CO., L.L.C.
January 4, 1993 - March 15, 1998
HAMPSHIRE SECURITIES CORPORATION
April 11, 1988 - August 28, 1992
LEHMAN BROTHERS INC.
January 7, 1971 - April 11, 1988
E. F. HUTTON & COMPANY INC
June 6, 1968 - February 4, 1971
DREXEL BURNHAM & CO. INCORPORATED
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 5/18/1962
Registered Representative ExaminationSeries 40
Date: 3/28/1977
Registered Principal ExaminationCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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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