Andrew D. Lowenstein

CRUDEN BAY INVESTMENT MANAGEMENT

Westlake Village, CA 91361

Some features on this profile are disabled

CRD#: 5207209

Professional summary

Andrew David Lowenstein is a registered financial advisor currently at CRUDEN BAY INVESTMENT MANAGEMENT, LLC located in Westlake Village, California.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

(1) 06/19/2013: Cavalier Associates - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - Fixed Annuities (2) 03/13/2014: Cruden Bay Investment Management - Non-Variable Insurance DBA - DBA: Cruden Bay Investment Management - Investment Related - At Reported Business Location(s) - 5% Time Spent - Support in back office functions (3) 04/06/2015: Global Consulting Services - Business Entity For Tax/Investment Purposes Only - Investment Related - 24757 Calle Conejo, Calabasas, CA 91302 - Start 03/23/2015 - 30 Hr/Mo; 30 Hour(s) During Securities Trading (4) 02/23/2021: DRL Insurance Services, LLC - Calabasas, CA - Insurance Company - non-investment related - ownership - 1% of time spent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew David Lowenstein'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

August 31, 2016 - Present

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

Office #1: 2945 Townsgate Road Suite 200, Westlake Village, CA 91361

RIA

CRD#: 284787

Westlake Village, CA

Past

December 3, 2012 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WESTLAKE VILLAGE, CA

Past

November 30, 2012 - December 23, 2016

LPL FINANCIAL LLC

CRD#: 6413

WESTLAKE VILLAGE, CA

Past

October 1, 2012 - November 30, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEWBURY PARK, CA

Past

October 1, 2012 - November 30, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEWBURY PARK, CA

Past

December 24, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEWBURY PARK, CA

Past

November 27, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEWBURY PARK, CA

Past

November 27, 2006 - October 8, 2009

WEDBUSH SECURITIES INC.

CRD#: 877

LOS ANGELES, CA

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".

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

CRD#: 284787 / SEC#: 801-108314

RIA

Registered Investment Advisory firm - (8/30/2016 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.

Highlighted states indicate IAR registrations

IAR

California
(8/31/2016)

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 65

Date: 12/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2013

General Securities Principal Examination

Current Firm

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

CRD#: 284787 / SEC#: 801-108314

RIA

Registered Investment Advisory firm - (8/30/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2945 Townsgate Road Suite 200, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 267-7184

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/17/2025)

FORM ADV APPENDIX 1 WRAP BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 467,699,208

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.

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew D. Lowenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew David Lowenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WEDBUSH SECURITIES INC.

Primary Firm SEC Registration

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2009

Series 63

Date: 1/10/2007

SIE

Date: 12/23/2016

Series 7

Date: 11/25/2006

Series 24

Date: 2/4/2013

Current Firm

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CRUDEN BAY INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors