AE
Andrew J. Evans
ROSSBY FINANCIAL
Melbourne, FL
Some features on this profile are disabled
CRD#: 4779446
AE
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.
1) Rossby Financial LLC. Inv-related. 4447 Preservation Cir, Melbourne, FL 32934. RIA. CEO, President, CCO. 1/2023. 35 hrs/mo; 8 during trading hrs. 2) Rossby Insurance. Inv-related. 4447 Preservation Cir, Melbourne, FL 32934. Insurance agency providing fixed insurance and property casualty policy to individuals. Some clients are also advisory/bd clients, but not all. Also works under the DBA to ROffice or Rossby Office. Owner and agent, placing fixed insurance policies with client. None of these are FIA/EIA or variable products. WE also act as a third party to introduce various financial professionals with virtual help. Owner. 11/30/2021. 10 hrs/mo; 1 during trading hrs. Duties: insurance agent. 3) Rossby Wealth. Inv-related. 4447 Preservation Cir, Melbourne, FL 32934. Holding company for receiving income from financial services activities. Consulting to technology companies, reseller of software services. This is the operating company of the above description to pay bills and expenses. Owner. 11/30/2021. 30 hrs/mo; 8 during trading hrs. 4) Andrew J Evans. Non inv-rel. Tax Preparer. Melbourne, FL. Since 4/16/2015. Devotes 2 hrs/mo - none during trading. 5) Andrew J Evans. Non inv-rel. Melbourne, FL. Independent Insurance Agent. 7/26/17. For various independent insurance companies. 5 hrs/mo - 1/trading hr. 6) ROffice, Non investment related, Melbourne, FL, Owner, 05/2023, providing virtual and fractional services to financial services professionals. 7) Practice Intelligence, LLC, 1015 NW 6 TER Boca Raton, FL 33486, 3% ownership, Chief Experience Officer, 10 hours a month devoted, 2 hours a month devoted during securities trading hours, responsible for reviewing all content and Advisor engagement to make changes to the user interface. 8) TAG Advisors, 4801 Cox Rd. Suite 102, Glen Allen, VA 23060, Investment related, Former Owner, prior ownership payouts and buyouts, May 1st 2022, 0 hours per month devoted, 0 hours per month devoted during securities trading, Buyout (capital gain and interest in 1099), additional compensation that hadn't been paid out (1099 or K1). 9) Archive Intel, 8000 Avalon Blve Ste. 100 Alpharetta, GA 30005, surveillance and archiving technology company, Board Member, 01/31/2024, 10 hours per month devoted, 1 hours per month devoted during securities trading hours, provide feed back on the product and do warm introductions to my network.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew John Evans'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®
NoneExperience
Current
March 13, 2023 - Present
ROSSBY FINANCIAL, LLC
Office #2: 2412 Irwin Street, Melbourne, FL 32901RIA
CRD#: 324631
Melbourne, FL
Current
March 1, 2023 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 2412 Irwin Street, Melbourne, FL 32901RIA
BD
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.
BD
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
BD
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.
BD
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.
BD
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
BD
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.
BD
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".
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
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.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
Florida(3/1/2023)
IAR
Florida(3/13/2023)
RR
Maryland(3/1/2023)
RR
Massachusetts(3/1/2023)
RR
Michigan(3/1/2023)
RR
North Carolina(3/1/2023)
RR
Ohio(3/1/2023)
RR
Oregon(3/29/2023)
RR
Pennsylvania(3/1/2023)
RR
Texas(3/1/2023)
RR
Virginia(3/1/2023)
RR
West Virginia(3/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 3/1/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
CRD#: 324631 / SEC#: 801-127370
RIA
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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
4
SEC notice filing (31 States and Territories)
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.
