Andrew Green
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 Green, who also goes by Andrew Edward Green, Andrew Green, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2010. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2017 - October 17, 2017
FIRST EMPIRE SECURITIES, INC.
May 6, 2014 - August 31, 2016
IMPERIAL CAPITAL, LLC
April 23, 2012 - April 30, 2014
R.W.PRESSPRICH & CO.
March 1, 2011 - February 27, 2012
ALLY SECURITIES LLC
April 23, 2010 - February 11, 2011
ELEVATION, LLC
February 4, 2010 - April 23, 2010
LEDGEMONT CAPITAL MARKETS LLC
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
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
