Andrew J. Feldman

A J FELDMAN FINANCIAL

Deerfield, IL

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CRD#: 5146719

Professional summary

Andrew Julius Feldman, CFP® is a registered financial advisor currently at A J FELDMAN FINANCIAL, LLC located in Deerfield, Illinois.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 4 firms and has passed the Series 66 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.

I AM PART OWNER OF GEMSHARES, LLC AND SPEND APPROXIMATELY 2-3 HOURS A WEEK ON THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Julius Feldman'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

September 13, 2010 - Present

A J FELDMAN FINANCIAL, LLC

RIA

CRD#: 154773

Deerfield, IL

Past

May 5, 2008 - March 20, 2009

MESIROW FINANCIAL, INC.

RIA

CRD#: 2764

CHICAGO, IL

Past

May 5, 2008 - March 20, 2009

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

CHICAGO, IL

Past

May 5, 2008 - March 20, 2009

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

August 16, 2006 - April 29, 2008

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

CHICAGO, IL

Past

July 14, 2006 - April 29, 2008

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CHICAGO, IL

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".

A J FELDMAN FINANCIAL, LLC

CRD#: 154773 / SEC#: 801-131716

RIA

Registered Investment Advisory firm - (1/2/2025 Approved)

Illinois

Registered Investment Advisory firm - (1/21/2025 Terminated)

Indiana

Registered Investment Advisory firm - (1/21/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/21/2025 Terminated)

Michigan

Registered Investment Advisory firm - (3/5/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(9/13/2010)

IAR

Indiana
(3/9/2015)

IAR

Massachusetts
(3/30/2018)

IAR

Michigan
(1/22/2021)

IAR

Pennsylvania
(2/11/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/2006

General Securities Representative Examination

Current Firm

A J FELDMAN FINANCIAL, LLC

CRD#: 154773 / SEC#: 801-131716

RIA

Registered Investment Advisory firm - (1/2/2025 Approved)

Illinois

Registered Investment Advisory firm - (1/21/2025 Terminated)

Indiana

Registered Investment Advisory firm - (1/21/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/21/2025 Terminated)

Michigan

Registered Investment Advisory firm - (3/5/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/21/2025 Terminated)

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Contact information

Main Address

Deerfield, IL

Mailing Address

Phone number

(847) 607-8249

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A,2B (3/3/2025)

Regulatory assets under management

Total Number of Accounts	612
AUM (Assets Under Management)	$ 112,575,000

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

Andrew J. Feldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Julius Feldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

A J FELDMAN FINANCIAL, LLC

MESIROW FINANCIAL, INC.

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW FINANCIAL, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

A J FELDMAN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2006

Series 7

Date: 7/13/2006

Current Firm

A J FELDMAN FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

A J FELDMAN FINANCIAL, LLC

TRUST BUT VERIFY

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