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AP

Andrew D. Purdy

SPECTRUM ASSET MANAGEMENT
Stamford, CT 06905
Some features on this profile are disabled
CRD#: 4769845
AP

Professional summary

Andrew Dean Purdy, who also goes by Andrew Purdy, is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT, INC. located in Stamford, Connecticut and SAMI BROKERAGE LLC located in Stamford, Connecticut.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew Purdy

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.
Real Estate Sales Associate (Realtor) Brokerage: Herron Real Estate LLC Address: Orange Park, FL Start Date: 06/22 to Present Number of hours: Less than 3 hours per month (non-scheduled and none during trading/working hours) Duties: As a realtor I can help families search for, purchase or sell real estate in the state of Florida. I am a licensed real estate sales associate in the state. Client Services & Portfolio Administration, AVP for Spectrum Asset Management, Inc.("Spectrum"). SAMI Brokerage LLC("SAMI") is a wholly owned direct subsidiary of Spectrum and is the executing broker for Spectrum.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Dean Purdy's CRS (Customer Relationship Summary).
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 2, 2024 - Present

SPECTRUM ASSET MANAGEMENT, INC.

Office #1: 2 High Ridge Park, Stamford, CT 06905
RIA
CRD#: 300463
Stamford, CT
Current

October 1, 2024 - Present

SAMI BROKERAGE LLC

Office #1: 2 High Ridge Park 2nd Floor, Stamford, CT 06905
BD
CRD#: 18217
Stamford, CT
Past

November 8, 2023 - April 3, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Stamford, CT
Past

April 24, 2023 - April 3, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Stamford, CT
Past

April 24, 2023 - April 3, 2024

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
Stamford, CT
Past

December 1, 2005 - June 11, 2012

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

October 25, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
SA
SPECTRUM ASSET MANAGEMENT, INC.
PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA
Registered Investment Advisory firm - (9/28/1987 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Connecticut
(10/1/2024)
IAR
Connecticut
(10/2/2024)
RR
Iowa
(10/1/2024)
RR
New York
(10/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/8/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SPECTRUM ASSET MANAGEMENT, INC.
PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA
Registered Investment Advisory firm - (9/28/1987 Approved)
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Contact information

Main Address
2 High Ridge Park, Stamford, CT 06905
Mailing Address
Phone number
(203) 322-0189
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPECTRUM FORM ADV PART 2 MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts78
AUM (Assets Under Management)$ 19,682,004,203

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

SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463Stamford, CT 06905

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