Andrew W. Topka
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 W Topka was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2006. Andrew had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2018 - December 12, 2022
THE BLUE OAK GROUP, LLC
November 13, 2014 - January 11, 2018
KALOS MANAGEMENT
November 12, 2014 - January 11, 2018
KALOS CAPITAL, INC.
June 13, 2006 - November 13, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 13, 2006 - November 13, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 1, 2006 - June 14, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2006 - June 14, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
THE BLUE OAK GROUP, LLC
CRD#: 291588 / SEC#:
Contact information
Red Flags
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