Andrew T. Hummel
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 Tyler Hummel, who also goes by Andrew Hummel, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2012. Andrew had worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86 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
August 26, 2021 - July 8, 2022
WESTPARK CAPITAL, INC.
November 17, 2015 - August 27, 2021
OPPENHEIMER & CO. INC.
June 25, 2012 - August 27, 2021
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
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
Current Firm
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
