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AL

Andrew J. Lipke

NORTH CAPITAL PRIVATE SECURITIES
Fayetteville, AR 72701
Some features on this profile are disabled
CRD#: 5162728
AL

Professional summary

Andrew Jay Lipke, who also goes by Drew Lipke, is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Fayetteville, Arkansas.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Drew Lipke

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 Jay Lipke'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

October 2, 2024 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 26 W Center Street, Suite 202, Fayetteville, AR 72701
BD
CRD#: 154559
Fayetteville, AR
Past

February 8, 2023 - August 1, 2024

ACRETRADER FINANCIAL, LLC

BD
CRD#: 320820
Fayetteville, AR
Past

July 25, 2019 - July 9, 2021

CREWS & ASSOCIATES, INC.

RIA
CRD#: 8052
LITTLE ROCK, AR
Past

July 25, 2019 - July 9, 2021

CREWS & ASSOCIATES, INC.

BD
CRD#: 8052
LITTLE ROCK, AR
Past

June 8, 2018 - June 12, 2019

STEPHENS

RIA
CRD#: 3496
LITTLE ROCK, AR
Past

August 14, 2007 - June 12, 2019

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

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
Alabama
(10/2/2024)
RR
Alaska
(10/2/2024)
RR
Arizona
(10/2/2024)
RR
Arkansas
(10/2/2024)
RR
California
(10/2/2024)
RR
Colorado
(10/2/2024)
RR
Connecticut
(10/2/2024)
RR
Delaware
(10/2/2024)
RR
District of Columbia
(10/2/2024)
RR
Florida
(10/2/2024)
RR
Georgia
(10/2/2024)
RR
Hawaii
(10/2/2024)
RR
Idaho
(10/2/2024)
RR
Illinois
(10/2/2024)
RR
Indiana
(10/2/2024)
RR
Iowa
(10/2/2024)
RR
Kansas
(10/2/2024)
RR
Kentucky
(10/2/2024)
RR
Louisiana
(10/2/2024)
RR
Maine
(10/2/2024)
RR
Maryland
(10/2/2024)
RR
Massachusetts
(10/2/2024)
RR
Michigan
(10/2/2024)
RR
Minnesota
(10/2/2024)
RR
Mississippi
(10/2/2024)
RR
Missouri
(10/2/2024)
RR
Montana
(10/2/2024)
RR
Nebraska
(10/2/2024)
RR
Nevada
(10/2/2024)
RR
New Hampshire
(10/2/2024)
RR
New Jersey
(10/2/2024)
RR
New Mexico
(10/2/2024)
RR
New York
(10/2/2024)
RR
North Carolina
(10/2/2024)
RR
North Dakota
(10/2/2024)
RR
Ohio
(10/2/2024)
RR
Oklahoma
(10/2/2024)
RR
Oregon
(10/2/2024)
RR
Pennsylvania
(10/2/2024)
RR
Rhode Island
(10/2/2024)
RR
South Carolina
(10/2/2024)
RR
South Dakota
(10/2/2024)
RR
Tennessee
(10/2/2024)
RR
Texas
(10/2/2024)
RR
Utah
(10/2/2024)
RR
Vermont
(10/2/2024)
RR
Virginia
(10/2/2024)
RR
Washington
(10/2/2024)
RR
West Virginia
(10/2/2024)
RR
Wisconsin
(10/2/2024)
RR
Wyoming
(10/2/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/7/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/6/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/21/2022
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 87
Date: 1/15/2015
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/7/2015
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/13/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/30/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

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

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

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

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559Fayetteville, AR 72701

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