Andrew J. Stricklin
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.
Andrew James Stricklin was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2009. Andrew had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, SIE, Series 50, Series 79, Series 52 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
Experience
April 18, 2019 - May 3, 2021
ASHLAND SECURITIES, LLC
October 9, 2018 - February 21, 2019
BLAYLOCK VAN, LLC
May 2, 2017 - August 24, 2018
OPPENHEIMER & CO. INC.
March 23, 2015 - April 5, 2017
RBC CAPITAL MARKETS, LLC
September 29, 2009 - March 7, 2012
WEDBUSH SECURITIES INC.
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: 4/30/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/30/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 4/30/2024
Municipal Securities Representative ExaminationCurrent Firm
ASHLAND SECURITIES, LLC
CRD#: 297523 / SEC#: , 8-70133
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
