ANDREA R. FIORENTINO
HIGHTOWER SECURITIES | Sr. Registered Client Service Associate
Watertown, NY 13601
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CRD#: 5135711
Professional summary
ANDREA RISHEL FIORENTINO, who also goes by Andrea Lynn Rishel, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Watertown, New York.
ANDREA is registered as a RR (Registered Representative) and started their career in finance in 2006. ANDREA has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Andrea Fiorentino began her career with Morgia Wealth Management in 2002 at Morgan Stanley Smith Barney. Her years of experience with the team has allowed her to develop strong relationships with many of our multigenerational, institutional and retirement plan clients.
Andrea’s comprehensive industry knowledge has enabled her to provide assistance to many of our clients with complex issues and helps them simplify all aspects of their financial lives. Her daily responsibilities include, meeting with clients to establish trust accounts, distribute estates, open accounts, transfer accounts, process retirement distributions and handle all client inquiries and requests.
Mrs. Fiorentino is active in the local Parent Teacher Organization. She has her associate's degree from SUNY Morrisville and holds Series 7 & 66 licenses.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrea Lynn Rishel
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 ANDREA RISHEL FIORENTINO'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
November 26, 2010 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 151 Mullin Street, Watertown, NY 13601BD
CRD#: 116681
Watertown, NY
Past
June 1, 2009 - December 13, 2010
MORGAN STANLEY
BD
CRD#: 149777
SYRACUSE, NY
Past
May 23, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WATERTOWN, NY
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
Florida(11/26/2010)
RR
New York(11/26/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Sr. Registered Client Service AssociateCRD#: 116681Watertown, NY 13601TRUST BUT VERIFY
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