Andrew Joseph Aspen
Professional Summary
Andrew Joseph Aspen is a registered financial advisor currently at FIRST MANHATTAN SECURITIES LLC located in New York, New York. Andrew is registered as a RR (Registered Representative) and started their career in finance in 2019. Andrew has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST MANHATTAN CO | FIRST MANHATTAN SECURITIES LLC | FIRST MANHATTAN CO. LLC
Contact Information
Main Address
399 Park Avenue, New York, NY 10022Mailing Address
399 Park Avenue, New York, NY 10022Phone Number
(212) 756-3300Established
Delaware since 11/02/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
114FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FMC GROUP HOLDINGS LP | LIMITED PARTNERSHIP | — |
| WYDRA, ZACHARY A | CHIEF EXECUTIVE OFFICER | 2937857 |
| ASPEN, ANDREW JOSEPH | CHIEF LEGAL OFFICER | 5282749 |
| COVINO, JEREMY PAUL | CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130) | 6794503 |
| PINTO, ALVARO SPINOLA | FINOP/PRINCIPAL OPERATIONS OFFICER | 6367887 |
| SAMMARCO, JOSEPH ANTHONY | CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION | 2982052 |
Regulatory Assets Under Management
Total Number of Accounts
5,308AUM (Assets Under Management)
$29,853,233,052Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(3/12/2019)
(10/19/2020)
(3/12/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Andrew Joseph Aspen's CRS (Customer Relationship Summary).
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