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AB

Andre Bouchard

ALLY INVEST SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 5435905
AB

Professional summary

Andre Bouchard, who also goes by Andre Philip Bouchard, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Andre is registered as a RR (Registered Representative) and started their career in finance in 2007. Andre has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andre Philip Bouchard

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 Andre Bouchard'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

June 28, 2021 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202
BD
CRD#: 136131
Charlotte, NC
Past

September 29, 2017 - June 4, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PORTLAND, OR
Past

September 29, 2017 - June 4, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PORTLAND, OR
Past

October 1, 2012 - October 5, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
PORTLAND, OR
Past

October 1, 2012 - October 5, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PORTLAND, OR
Past

September 13, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
GRESHAM, OR
Past

September 13, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
GRESHAM, OR
Past

January 2, 2008 - May 3, 2010

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
PORTLAND, OR
Past

November 28, 2007 - May 3, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
PORTLAND, OR

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
(6/28/2021)
RR
Alaska
(6/28/2021)
RR
Arizona
(6/28/2021)
RR
Arkansas
(6/28/2021)
RR
California
(6/28/2021)
RR
Colorado
(6/28/2021)
RR
Connecticut
(6/28/2021)
RR
Delaware
(6/28/2021)
RR
District of Columbia
(6/28/2021)
RR
Florida
(6/28/2021)
RR
Georgia
(6/28/2021)
RR
Hawaii
(6/28/2021)
RR
Idaho
(6/28/2021)
RR
Illinois
(6/28/2021)
RR
Indiana
(6/28/2021)
RR
Iowa
(6/28/2021)
RR
Kansas
(6/28/2021)
RR
Kentucky
(6/28/2021)
RR
Louisiana
(6/28/2021)
RR
Maine
(6/28/2021)
RR
Maryland
(6/28/2021)
RR
Massachusetts
(6/28/2021)
RR
Michigan
(6/28/2021)
RR
Minnesota
(6/28/2021)
RR
Mississippi
(6/28/2021)
RR
Missouri
(6/28/2021)
RR
Montana
(6/28/2021)
RR
Nebraska
(6/28/2021)
RR
Nevada
(6/28/2021)
RR
New Hampshire
(6/28/2021)
RR
New Jersey
(6/28/2021)
RR
New Mexico
(6/28/2021)
RR
New York
(6/28/2021)
RR
North Carolina
(6/28/2021)
RR
North Dakota
(6/28/2021)
RR
Ohio
(6/28/2021)
RR
Oklahoma
(6/28/2021)
RR
Oregon
(6/28/2021)
RR
Pennsylvania
(6/28/2021)
RR
Puerto Rico
(6/28/2021)
RR
Rhode Island
(6/28/2021)
RR
South Carolina
(6/28/2021)
RR
South Dakota
(6/28/2021)
RR
Tennessee
(1/19/2023)
RR
Texas
(6/28/2021)
RR
Utah
(6/28/2021)
RR
Vermont
(6/28/2021)
RR
Virginia
(6/28/2021)
RR
Washington
(6/28/2021)
RR
West Virginia
(6/28/2021)
RR
Wisconsin
(6/28/2021)
RR
Wyoming
(6/28/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2007
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: 11/27/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/7/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

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

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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

ALLY INVEST SECURITIES LLC

CRD#: 136131Charlotte, NC 28202

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