Andrew R. Paolillo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Rothschild Paolillo, who also goes by Andrew Paolillo, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2005. Andrew had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2014 - March 4, 2019
ROSS, SINCLAIRE & ASSOCIATES, LLC
August 5, 2013 - March 4, 2019
ROSS, SINCLAIRE & ASSOCIATES, LLC
September 23, 2009 - May 2, 2013
ROCKY HILL ADVISORS INC.
April 19, 2005 - September 4, 2008
J.P. MORGAN SECURITIES LLC
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
Series 55
Date: 8/4/2005
Limited Representative-Equity Trader ExamCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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