John A. Szkaradek
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.
John Andrew Szkaradek, CFP®, who also goes by Andy Szkaradek, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
October 20, 2022 - November 20, 2023
UNITED CAPITAL FINANCIAL ADVISORS
September 2, 2022 - November 20, 2023
GOLDMAN SACHS & CO. LLC
October 20, 2021 - July 20, 2022
ERNST & YOUNG INVESTMENT ADVISERS LLP
June 2, 2017 - November 9, 2018
CHERRY BEKAERT WEALTH MANAGEMENT LLC
September 16, 2016 - May 2, 2017
TRUIST ADVISORY SERVICES, INC.
August 14, 2013 - May 2, 2017
TRUIST INVESTMENT SERVICES, INC.
July 2, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
November 26, 2008 - May 30, 2013
STRATEGIC WEALTH SOLUTIONS, INC.
October 23, 2006 - February 7, 2007
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/2/2022
General Securities Representative ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
