Andrew I. Sinclair

NED DAVIS RESEARCH

New York, NY 10020

Some features on this profile are disabled

CRD#: 4991789

Professional summary

Andrew Isaac Sinclair is a registered financial advisor currently at NED DAVIS RESEARCH, INC. located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Andrew Isaac Sinclair's CRS (Customer Relationship Summary).

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

January 21, 2025 - Present

NED DAVIS RESEARCH, INC.

Office #1: 1270 Avenue Of The Americas Suite 1000, New York, NY 10020

RIA

CRD#: 112260

New York, NY

Past

January 13, 2014 - December 31, 2015

GRK PARTNERS LP

RIA

CRD#: 162433

GREENWICH, CT

Past

February 19, 2010 - December 3, 2013

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

CRD#: 149326

NEW YORK, NY

Past

July 10, 2009 - February 19, 2010

PULSE TRADING, INC.

CRD#: 104022

NEW YORK, NY

Past

November 16, 2006 - June 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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".

NED DAVIS RESEARCH, INC.

NDR | NED DAVIS RESEARCH, INC. | NED DAVIS RESEARCH GROUP

CRD#: 112260 / SEC#: 801-60241

RIA

Registered Investment Advisory firm - (5/31/2001 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/3/2012 Terminated)

Illinois

Registered Investment Advisory firm - (10/5/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (12/19/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(1/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/26/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/15/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/2011

General Securities Principal Examination

Current Firm

NED DAVIS RESEARCH, INC.

NDR | NED DAVIS RESEARCH, INC. | NED DAVIS RESEARCH GROUP

CRD#: 112260 / SEC#: 801-60241

RIA

Registered Investment Advisory firm - (5/31/2001 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/3/2012 Terminated)

Illinois

Registered Investment Advisory firm - (10/5/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (12/19/2012 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2012 Terminated)

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

3665 Bee Ridge Road Suite 306, Sarasota, FL 34233

Mailing Address

Phone number

(941) 412-2300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NDR 2024 ADV PART 2A (12/18/2024)

NDR 2024 ADV PART 2A, ITEM 18 (12/18/2024)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 248,514

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew I. Sinclair

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Isaac Sinclair's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRK PARTNERS LP

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

PULSE TRADING, INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

NED DAVIS RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/2006

Series 3

Date: 3/26/2014

Series 7

Date: 11/15/2006

Series 24

Date: 2/10/2011

Current Firm

NED DAVIS RESEARCH, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NED DAVIS RESEARCH, INC.

TRUST BUT VERIFY

Similar Advisors