Andrea D. Gierman
Professional summary
Andrea Dawn Gierman, who also goes by Andy Gierman, is a registered financial professional currently at HARRIS WILLIAMS located in Minneapolis, Minnesota.
Andrea is registered as a RR (Registered Representative) and started their career in finance in 2013. Andrea has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrea Dawn Gierman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
HARRIS WILLIAMS
Office #1: 222 South 9th Street Suite 3100, Minneapolis, MN 55402June 25, 2021 - April 1, 2023
J.P. MORGAN SECURITIES LLC
March 31, 2015 - August 28, 2019
GOLDMAN SACHS & CO. LLC
March 24, 2014 - February 10, 2015
CAPITAL CLIENT GROUP, INC.
August 20, 2013 - February 10, 2015
CAPITAL CLIENT GROUP, 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
(6/29/2023)
Exams
Series 79TO
Date: 7/27/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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