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RA

Richard M. Andrew

SOUTH STREET SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 4797572
RA

Professional summary

Richard Michael Andrew is a registered financial professional currently at SOUTH STREET SECURITIES LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Richard Michael Andrew'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®
None

Experience

Current

November 24, 2005 - Present

SOUTH STREET SECURITIES LLC

Office #1: 1155 Sixth Ave 14th Floor, New York, NY 10036Office #2: 1155 Ave Of The Americas 14th Floor, New York, NY 10036
BD
CRD#: 125202
New York, NY
Past

May 26, 2004 - October 31, 2005

THREE RIVERS SECURITIES LLC

BD
CRD#: 107887
NEW YORK, NY

State Registrations and Notice Filings

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

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
New York
(11/24/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOUTH STREET SECURITIES LLC
SOUTH STREET SECURITIES LLC

CRD#: 125202 / SEC#: , 8-65770

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Mailing Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Phone number
(212) 824-0738
Established
Delaware since 03/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTH STREET SECURITIES FUNDING LLCOWNER
KELLY, JOHN EDWARDCCO
LUBRANO, LEONARD GCFO1091164
PEREZ-VEGA, JOSE CARLOSBOARD OF MANAGER2209448
PUCCI, STEPHANIETRADING PRINCIPAL2674481
SCHUIT, JASON EDWARDPRESIDENT2426827
TABACCHI, JAMES MICHAELCHIEF EXECUTIVE OFFICER/ BOARD OF MGERS2355049

Disclosures

Regulatory Event1

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

SOUTH STREET SECURITIES LLC

CRD#: 125202New York, NY 10036

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