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AL

Andrew C. Lauck

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CRD#: 5152833
AL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Cassidy Lauck, who also goes by Andrew Lauck, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2007. Andrew had worked at 3 firms and has passed the Series 7 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Lauck

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 7, 2020 - January 15, 2025

REDBIRD BD LLC

BD
CRD#: 297239
NEW YORK, NY
Past

September 1, 2011 - July 1, 2014

BDT & MSD PARTNERS, LLC

BD
CRD#: 150459
CHICAGO, IL
Past

August 27, 2007 - June 14, 2010

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 8/25/2007
General Securities Representative Examination

Current Firm

RB
REDBIRD BD LLC
REDBIRD BD LLC | REDBIRD BD, LLC

CRD#: 297239 / SEC#: , 8-70125

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

Main Address
667 Madison Ave 8th Floor, New York, NY 10065
Mailing Address
667 Madison Ave 8th Floor, New York, NY 10065
Phone number
(212) 235-1000
Established
Delaware since 11/29/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
REDBIRD CAPITAL PARTNERS ALTERNATIVE HOLDINGS LLCOWNER, OWNER / AGGREGATION VEHICLE FOR IA AND BD ACTIVITIES
CHIARAVALLOTI, MICHAEL JOSEPHCOUNSEL & CHIEF COMPLIANCE OFFICER5099998
KLEIN, ROBERT JAYMANAGING PRINCIPAL3035592
MILLER, ANDREW DAVIDFINOP5106774

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

REDBIRD BD LLC

CRD#: 297239

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