Andrew J. Evans

ROSSBY FINANCIAL

Melbourne, FL

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CRD#: 4779446

Professional summary

Andrew John Evans, who also goes by Aj Evans, Andrew Evans, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Melbourne, Florida and PRIVATE CLIENT SERVICES, LLC located in Melbourne, Florida.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 8 firms and has passed the Series 66, Series 82TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aj Evans | Andrew Evans

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) - RIA

Click below to view Andrew John Evans'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

March 13, 2023 - Present

ROSSBY FINANCIAL, LLC

Office #2: 2412 Irwin Street, Melbourne, FL 32901

RIA

CRD#: 324631

Melbourne, FL

Current

March 1, 2023 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2412 Irwin Street, Melbourne, FL 32901

RIA

CRD#: 120222

Melbourne, FL

Past

August 7, 2012 - March 6, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Melbourne, FL

Past

August 6, 2012 - March 6, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Carmichaels, PA

Past

January 25, 2011 - August 14, 2012

WADDELL & REED

RIA

CRD#: 866

MONROEVILLE, PA

Past

January 11, 2011 - August 14, 2012

WADDELL & REED

CRD#: 866

MONROEVILLE, PA

Past

May 4, 2009 - December 21, 2010

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PITTSBURGH, PA

Past

May 1, 2009 - December 21, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PITTSBURGH, PA

Past

April 19, 2007 - March 20, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PITTSBURGH, PA

Past

April 18, 2007 - March 20, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PITTSBURGH, PA

Past

April 26, 2006 - April 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSBURGH, PA

Past

April 25, 2006 - April 4, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSBURGH, PA

Past

April 29, 2005 - January 26, 2006

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

SARASOTA, FL

Past

May 14, 2004 - January 26, 2006

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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".

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 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.

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

Florida
(3/1/2023)

IAR

Florida
(3/13/2023)

Maryland
(3/1/2023)

Massachusetts
(3/1/2023)

Michigan
(3/1/2023)

North Carolina
(3/1/2023)

Ohio
(3/1/2023)

Oregon
(3/29/2023)

Pennsylvania
(3/1/2023)

Texas
(3/1/2023)

Virginia
(3/1/2023)

West Virginia
(3/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 3/1/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/19/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/13/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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Contact information

Main Address

2412 Irwin Street, Melbourne, FL 32901

Mailing Address

Phone number

(321) 209-0111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)

ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	804
AUM (Assets Under Management)	$ 358,627,117

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Evans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Evans's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WADDELL & REED

WADDELL & REED

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

ROSSBY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2004

Series 82TO

Date: 3/1/2023

SIE

Date: 10/1/2018

Series 31

Date: 5/19/2006

Series 7

Date: 5/13/2004

Series 24

Date: 7/31/2009

FINRA

Current Firm

ROSSBY FINANCIAL, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSSBY FINANCIAL, LLC

TRUST BUT VERIFY

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