AW
Andrew R. Whiting
MISSIONSQUARE INVESTMENT SERVICES
Washington, DC 20002-4240
Some features on this profile are disabled
CRD#: 5047620
AW
Professional summary
Andrew Raymond Whiting, who also goes by Andrew R Whiting, Andrew Raymond Whiting Sr, is a registered financial professional currently at MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew R Whiting | Andrew Raymond Whiting Sr
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 Raymond Whiting'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
December 10, 2020 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240BD
CRD#: 23189
Washington, DC
Past
August 16, 2017 - November 17, 2020
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
January 9, 2013 - August 23, 2017
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 15, 2011 - November 30, 2012
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
January 1, 2009 - August 16, 2011
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
BLOOMFIELD, CT
Past
October 25, 2006 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
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
Alabama(11/9/2021)
RR
Alaska(11/9/2021)
RR
Arizona(11/9/2021)
RR
Arkansas(11/9/2021)
RR
California(11/9/2021)
RR
Colorado(11/9/2021)
RR
Connecticut(11/9/2021)
RR
Delaware(11/9/2021)
RR
District of Columbia(12/10/2020)
RR
Florida(11/9/2021)
RR
Georgia(11/9/2021)
RR
Hawaii(11/9/2021)
RR
Idaho(11/9/2021)
RR
Illinois(11/9/2021)
RR
Indiana(11/9/2021)
RR
Iowa(11/9/2021)
RR
Kansas(11/9/2021)
RR
Kentucky(11/9/2021)
RR
Louisiana(11/9/2021)
RR
Maine(11/9/2021)
RR
Maryland(11/9/2021)
RR
Massachusetts(11/9/2021)
RR
Michigan(11/9/2021)
RR
Minnesota(11/9/2021)
RR
Mississippi(11/9/2021)
RR
Missouri(11/9/2021)
RR
Montana(11/9/2021)
RR
Nebraska(11/9/2021)
RR
Nevada(11/9/2021)
RR
New Hampshire(11/9/2021)
RR
New Jersey(12/10/2020)
RR
New Mexico(11/9/2021)
RR
New York(11/9/2021)
RR
North Carolina(11/9/2021)
RR
North Dakota(11/9/2021)
RR
Ohio(11/9/2021)
RR
Oklahoma(11/9/2021)
RR
Oregon(11/9/2021)
RR
Pennsylvania(11/9/2021)
RR
Rhode Island(11/9/2021)
RR
South Carolina(11/9/2021)
RR
South Dakota(11/9/2021)
RR
Tennessee(11/9/2021)
RR
Texas(11/9/2021)
RR
Utah(11/9/2021)
RR
Vermont(11/9/2021)
RR
Virginia(11/9/2021)
RR
Washington(11/9/2021)
RR
West Virginia(11/9/2021)
RR
Wisconsin(11/9/2021)
RR
Wyoming(11/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/30/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MISSIONSQUARE INVESTMENT SERVICES
ICMA - RC SERVICES, INC. | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC
CRD#: 23189 / SEC#: , 8-40268
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
Mailing Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
Phone number
(202) 962-4600
Established
Delaware since 12/31/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
