Andre O. Foy

ZACKS INVESTMENT MANAGEMENT

CASTLEROCK, CO

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CRD#: 5140384

Professional summary

Andre O Foy, who also goes by Andre O Foy Mr., Andre Owen Foy, Andy Foy, is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Castlerock, Colorado and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Andre is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Andre has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andre O Foy Mr. | Andre Owen Foy | Andy Foy

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.

Mr. Foy is renting out his Home at 12148 West Stillwater Drive Boise, ID 83709. This is not an investment related business. Mr. Foy will not be spending any time running this business as has hired a Management company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre O Foy's CRS (Customer Relationship Summary).

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

February 8, 2012 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CASTLEROCK, CO

Current

December 7, 2011 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

February 16, 2011 - December 2, 2011

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

January 8, 2008 - October 27, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

August 28, 2007 - December 31, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LONE TREE, CO

Past

February 28, 2007 - June 8, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

COVINGTON, KY

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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.

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

Alabama
(1/2/2019)

Alaska
(1/2/2019)

Arizona
(12/7/2011)

Arkansas
(1/2/2019)

California
(1/2/2019)

Colorado
(12/7/2011)

IAR

Colorado
(2/8/2012)

Connecticut
(1/2/2019)

Delaware
(1/2/2019)

District of Columbia
(1/2/2019)

Florida
(1/2/2019)

Georgia
(1/2/2019)

Hawaii
(1/2/2019)

Idaho
(8/23/2013)

Illinois
(1/2/2019)

Indiana
(1/2/2019)

Iowa
(1/2/2019)

Kansas
(1/2/2019)

Kentucky
(1/2/2019)

Louisiana
(1/2/2019)

Maine
(1/2/2019)

Maryland
(1/2/2019)

Massachusetts
(1/2/2019)

Michigan
(1/2/2019)

Minnesota
(1/2/2019)

Mississippi
(1/2/2019)

Missouri
(1/2/2019)

Montana
(8/23/2013)

Nebraska
(3/1/2013)

Nevada
(1/2/2019)

New Hampshire
(1/2/2019)

New Jersey
(1/2/2019)

New Mexico
(12/7/2011)

New York
(1/2/2019)

North Carolina
(1/2/2019)

North Dakota
(3/1/2013)

Ohio
(1/3/2019)

Oklahoma
(1/2/2019)

Oregon
(1/2/2019)

Pennsylvania
(1/2/2019)

Puerto Rico
(1/2/2019)

Rhode Island
(1/2/2019)

South Carolina
(1/2/2019)

South Dakota
(8/23/2013)

Tennessee
(1/3/2019)

Texas
(1/2/2019)

Utah
(12/7/2011)

Vermont
(1/2/2019)

Virginia
(1/2/2019)

Washington
(1/2/2019)

West Virginia
(1/2/2019)

Wisconsin
(1/2/2019)

Wyoming
(12/7/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/16/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

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Firm Stability Insights

Andre O. Foy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre O Foy's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2012

Series 63

Date: 7/7/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2007

Series 6

Date: 11/16/2006

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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