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AG

Andrew R. Gulotta

HARRIS WILLIAMS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5136004
AG

Professional summary

Andrew Redmann Gulotta is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Redmann Gulotta'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®
None

Experience

Current

April 27, 2023 - Present

HARRIS WILLIAMS

Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022
BD
CRD#: 113930
New York, NY
Past

March 20, 2009 - August 2, 2023

SIXPOINT PARTNERS LLC

BD
CRD#: 146067
NEW YORK, NY
Past

October 1, 2008 - February 9, 2009

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 15, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, 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
New York
(4/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HW
HARRIS WILLIAMS
HARRIS WILLIAMS | HARRIS WILLIAMS LLC | HARRIS WILLIAMS ADVISORS, INC. | HARRIS WILLIAMS & CO.

CRD#: 113930 / SEC#: , 8-53380

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Mailing Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Phone number
(804) 648-0072
Established
Virginia since 01/01/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PNC BANK, NATIONAL ASSOCIATIONPARENT
BALTIMORE, ROBERT MARTINBOARD MEMBER / CO-CEO4445610
HART, JASON EDWARD HEATHFINOP4173982
HART, JASON EDWARD HEATHPRINCIPAL FINANCIAL OFFICER4173982
HART, JASON EDWARD HEATHPRINCIPAL OPERATIONS OFFICER4173982
LONG, GEORGE PHILLIP MR.CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD5094038
NEUNER, JOHN IVBOARD MEMBER / CO-CEO4578584
POGGI, PAUL THOMASCHIEF OPERATING OFFICER AND BOARD MEMBER5277661
THOMAS, MICHAEL DUANEBOARD MEMBER2992653
VALENTINE, EDWARD WESTCHAIRMAN OF THE BOARD OF MANAGERS2399981
VAN DER WAAG, ASHLEY HOGUECHIEF COMPLIANCE OFFICER3079633
WILLIAMS, JULIE ANNBOARD MEMBER6040587

Disclosures

Regulatory Event1

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.

Company Information

HARRIS WILLIAMS

CRD#: 113930New York, NY 10022

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