AM
Andrew M. Mccloskey
NATIONS FINANCIAL GROUP
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5126983
AM
Professional summary
Andrew M Mccloskey is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Wayne, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
ST JOSEPH REALTY PARTNERS, LLC; IS INVESTMENT RELATED; ADDRESS IS 115 BLOOMINGDALE AVE WAYNE, PA 19087; NATURE OF BUSINESS IS REAL ESTATE, OWNER OF BUILDING. POSITION IS OWNER; START DATE 06/15/2015; 1 HOUR PER MONTH /0 DURING TRADING. DUTIES ARE OWNER OF BUILDING // MCCLOSKEY FINANCIAL GROUP, LLC; IS INVESTMENT RELATED; 115 BLOOMINGDALE AVE. WAYNE, PA 19087. NATURE OF BUSINESS IS INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER.START DATE 01/01/2008; NUMBER OF HOURS PER MONTH 40; NUMBER OF HOURS DURING TRADING 32.5; DUTIES ARE PORTFOLIO AND CLIENT MANAGEMENT // ELKINS & CO LP; IS INVESTMENT RELATED; 635 HARBOR WATCH LOOP. MYRTLE BEACH, SC 29579; NATURE OF BUSINESS IS INVEST IN REAL ESTATE. POSITION IS DIRECTOR. START DATE 1/3/24; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; DUTIES ARE ATTEND 1 MEETING PER YEAR // AMBASSADORS FUND FOR CATHOLIC EDUCATION. 115 BLOOMINGDALE AVE. WAYNE, PA 19087. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS CHARITABLE FAMILY FOUNDATION. POSITION IS PRESIDENT. STARTED JANUARY 2007. APPROX 30 HRS/MONTH SPENT ON BUSINESS, WITH 5 HRS DURING SECURITY TRADING HOURS. DUTIES ARE ADMINISTRATION OF GRANTS // MARTIN DEPORRES FOUNDATION. 115 BLOOMINGDALE AVE. WAYNE, PA 19087. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS TO MAKE GRANTS. POSITION IS BOARD MEMBER. STARTED JANUARY 2023. APPROX 5 HRS/MONTH SPENT ON BUSINESS, WITH 3 HRS DURING SECURITY TRADING HOURS. DUTIES ARE ATTEND BOARD AND INVESTMENT COMMITTEE MEETINGS // JAMES A FINNEGAN FOUNDATION. 3401 N FRONT ST. HARRISBURG, PA 17110. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS CHARITABLE. POSITION IS BOARD MEMBER. STARED IN 2010. APPROX. .5 HRS PER MONTH SPENT ON BUSINESS WITH NO HOURS DURING SECURITY TRADING HOURS. DUTES ARE TO ATTEND ANNUAL MEETING.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew M Mccloskey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew M Mccloskey'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
September 6, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 115 Bloomingdale Ave., Wayne, PA 19087Office #2: 115 Blooomingdale Ave, Wayne, PA 19087RIA
BD
CRD#: 44181
Wayne, PA
Current
September 6, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 115 Bloomingdale Ave., Wayne, PA 19087RIA
BD
CRD#: 44181
Wayne, PA
Past
April 1, 2008 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WAYNE, PA
Past
April 1, 2008 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WAYNE, PA
Past
March 14, 2008 - March 24, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WEST CONSHOHOCKEN, PA
Past
March 14, 2008 - March 24, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WEST CONSHOHOCKEN, PA
Past
June 2, 2006 - March 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RADNOR, PA
Past
April 28, 2006 - March 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RADNOR, PA
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
California(9/6/2019)
RR
Colorado(9/6/2019)
RR
Florida(9/6/2019)
RR
Illinois(9/6/2019)
RR
Massachusetts(9/6/2019)
RR
New Jersey(9/6/2019)
RR
New York(9/6/2019)
RR
Pennsylvania(9/6/2019)
IAR
Pennsylvania(9/6/2019)
RR
Texas(9/6/2019)
IAR
Texas(9/6/2019)
RR
Virginia(9/16/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
