Andrew L. Johnson

SIDOTI & COMPANY

New York, NY 10036

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CRD#: 5793525

Professional summary

Andrew Louis Johnson, who also goes by Andrew Johnson, is a registered financial professional currently at SIDOTI & COMPANY, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2010. Andrew has worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Johnson

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 Andrew Louis Johnson's 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

August 9, 2024 - Present

SIDOTI & COMPANY, LLC

Office #1: 1177 Avenue Of Americas Floor 5, New York, NY 10036Office #2: 1177 Avenue Of Americas Floor 5, New York, NY 10036

CRD#: 102860

New York, NY

Past

September 5, 2023 - June 10, 2024

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

April 13, 2022 - September 7, 2023

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

January 10, 2022 - March 28, 2022

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

September 6, 2011 - January 17, 2013

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

Past

February 25, 2011 - July 19, 2011

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

NEW YORK, NY

Past

October 6, 2010 - October 21, 2010

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

September 15, 2010 - September 17, 2010

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(8/12/2024)

New York
(10/8/2024)

Exams

State Security Law Exam

Series 63

Date: 10/7/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/9/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/10/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 9/20/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2010

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/21/2008

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

SIDOTI & COMPANY, LLC

SIDOTI & COMPANY, LLC | SIDOTI RESEARCH SERVICES, LLC | SIDOTI RESEARCH SERVICES

CRD#: 102860 / SEC#: , 8-52141

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1177 Avenue Of Americas Floor 5, New York, NY 10036

Mailing Address

P.o. Box 5337, New York, NY 10185

Phone number

(212) 297-0001

Established

Delaware since 03/01/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SIDOTI HOLDING COMPANY, LLC	SOLE MEMBER
FISCHER, HOWARD STEVEN	FINOP / PFO / PPO	1637077
SIDOTI, PETER THOMAS	CEO, CCO	1359648

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Andrew L. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Louis Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH GUNNAR & CO. LLC

DAWSON JAMES SECURITIES, INC.

AEGIS CAPITAL CORP.

SIDOTI & COMPANY, LLC

BUCKMAN, BUCKMAN & REID, INC.

JOHN THOMAS FINANCIAL

NATIONAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2024

Series 7TO

Date: 9/9/2024

Series 79TO

Date: 1/10/2022

SIE

Date: 9/20/2021

Series 7

Date: 9/14/2010

Series 3

Date: 10/21/2008

FINRA

Current Firm

SIDOTI & COMPANY, LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIDOTI & COMPANY, LLC

TRUST BUT VERIFY

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