Andy J. Anderson
Professional summary
Andy James Anderson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andy is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Andy had worked at 2 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2018 - September 27, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 6, 2018 - September 27, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 12, 2011 - July 18, 2018
PFS INVESTMENTS INC.
October 21, 2004 - July 18, 2018
PFS INVESTMENTS INC.
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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