AS
Andrew J. Schweitzer
HAYWOOD SECURITIES (USA)
Toronto, On, M5J 2T3
Some features on this profile are disabled
CRD#: 4910371
AS
Professional summary
Andrew Jay Schweitzer is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 1 firm and has passed the Series 63, SIE and Series 38 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Jay Schweitzer'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
August 20, 2007 - Present
HAYWOOD SECURITIES (USA) INC.
Office #1: 2910 - 181 Bay Street, Toronto, On, M5J 2T3BD
CRD#: 42072
Toronto, On,
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
Arizona(6/25/2018)
RR
California(12/15/2016)
RR
Colorado(6/18/2018)
RR
Connecticut(11/8/2018)
RR
Florida(9/13/2010)
RR
Georgia(4/20/2017)
RR
Illinois(11/13/2018)
RR
Indiana(8/11/2017)
RR
Iowa(9/2/2025)
RR
Kansas(5/30/2018)
RR
Louisiana(1/4/2021)
RR
Maine(11/27/2020)
RR
Maryland(1/2/2018)
RR
Massachusetts(8/10/2017)
RR
Michigan(11/29/2018)
RR
Minnesota(3/14/2019)
RR
Mississippi(1/9/2020)
RR
Missouri(8/26/2009)
RR
Montana(9/27/2018)
RR
Nevada(11/10/2016)
RR
New Hampshire(1/10/2019)
RR
New Jersey(3/6/2017)
RR
New York(10/5/2007)
RR
North Carolina(2/28/2019)
RR
North Dakota(5/5/2021)
RR
Ohio(11/13/2018)
RR
Oregon(7/24/2019)
RR
Pennsylvania(11/28/2018)
RR
Puerto Rico(5/31/2019)
RR
Rhode Island(10/2/2018)
RR
South Carolina(2/2/2022)
RR
Tennessee(8/2/2018)
RR
Texas(4/18/2017)
RR
Utah(1/11/2019)
RR
Vermont(4/28/2022)
RR
Virginia(1/2/2019)
RR
Washington(6/5/2018)
RR
Wisconsin(11/27/2018)
RR
Wyoming(1/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 8/16/2007
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
Current Firm
HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
