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AC

Andrea C. Coleman

HAMILTON LANE SECURITIES LLC
Englewood, CO 80112
Some features on this profile are disabled
CRD#: 5335424
AC

Professional summary

Andrea Catherine Coleman, who also goes by Andrea Coleman, Andrea Catherine Maier, is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Englewood, Colorado.

Andrea is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrea has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrea Coleman | Andrea Catherine Maier

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 Andrea Catherine Coleman's 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

July 18, 2021 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 10333 East Dry Creek Road Suite 310, Englewood, CO 80112
BD
CRD#: 281510
Englewood, CO
Past

February 26, 2015 - July 16, 2021

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
DENVER, CO
Past

March 11, 2008 - February 19, 2015

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

July 25, 2007 - January 17, 2008

EDWARD JONES

RIA
CRD#: 250
BRIGHTON, CO
Past

June 28, 2007 - January 17, 2008

EDWARD JONES

BD
CRD#: 250
BRIGHTON, CO

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
California
(7/18/2021)
RR
Colorado
(7/18/2021)
RR
Connecticut
(7/18/2021)
RR
Delaware
(7/18/2021)
RR
District of Columbia
(7/18/2021)
RR
Maine
(7/18/2021)
RR
Maryland
(7/18/2021)
RR
Massachusetts
(7/18/2021)
RR
New Hampshire
(7/18/2021)
RR
New Jersey
(7/18/2021)
RR
New York
(7/18/2021)
RR
Pennsylvania
(7/18/2021)
RR
Rhode Island
(7/18/2021)
RR
Tennessee
(6/21/2023)
RR
Vermont
(7/18/2021)
RR
Virginia
(7/18/2021)
RR
West Virginia
(7/18/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

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

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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

HAMILTON LANE SECURITIES LLC

CRD#: 281510Englewood, CO 80112

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