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Andrew Joseph Defeo

CRD# 5008070·Registered 2007 - 2024
Previously Registered: Being a previously registered professional could mean that Andrew 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.

Professional Summary

Andrew Joseph Defeo, who also goes by Andrew J Defeo, was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 2007 - 2024. Andrew had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andrew J Defeo

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

19 years in the financial services industry

Current & Past Employments

OPTIMIZE ADVISORS LLC·CRD# 315717
RIA
New York, NY
August 2, 2021 - May 13, 2024
PICO QUANTITATIVE TRADING LLC·CRD# 118639
BD
New York, NY
November 9, 2012 - March 25, 2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P.·CRD# 3466
BD
New York, NY
May 23, 2007 - June 27, 2012

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Current Firm

OA
OPTIMIZE ADVISORS LLC

OPTIMIZE ADVISORS LLC

CRD#: 315717 / SEC#: 801-121998

Contact Information

Main Address

112 W 34th Street 18th Floor, New York, NY 10120

Phone Number

(347) 878-7930

# of Employees

1

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A- OPTIMIZE ADVISORS LLC (3/26/2024)

Regulatory Assets Under Management

Total Number of Accounts

1

AUM (Assets Under Management)

$581,110

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

I am the co-founder and managing director of business development for Tradelegs LLC. Tradelegs is a Fintech company that has developed AI for trading Equity Options. The technology has been used to develop systematic strategies that will be traded by Optimize Advisors. Owner; ADK Business Consulting LLC; Is the business investment related: No; Location of the business: 2 Lake Road Cortlandt Manor NY 10567 United States; Description of the business: ADK business consulting LLC provides specialized consulting services for Business Development, FinTech, Start-ups, technology integrations, and business planning. ; Responsibilities Duties: Provide consulting services and advice for Business Development, FinTech companies, Start-ups, and business planning. This might include attending meetings/strategy sessions, analyzing expenses and projections, reviewing technology, coordinating transitions in ownership, acquisitions, and deal terms etc.; Hours per month devoted to business during trading hours: 20; Hours per month devoted to business outside trading hours: 20; Percentage of total yearly compensation expected to be derived from the business: 25;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2020About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2007About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Jan 2008About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed May 2007About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2012About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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