AR
Andrew T. Rich
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CRD#: 5812183
AR
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 T Rich was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2010. Andrew had worked at 4 firms and has passed the Series 66, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
**Cornerstone Financial Strategies - DBA **FOOD SERVICE POSITION: employee NATURE: Bartending INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: 532 Jefferson Road, Rochester NY 14623 DESCRIPTION: food service **ACTOR POSITION: I am the hired help NATURE: Actor INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2016 ADDRESS: 235 Alexander St, 2nd Floor, Rochester NY 14607 DESCRIPTION: I act in film and television **LEROY FIRE DEPARTMENT POSITION: Firefighter NATURE: Volunteer Firefighter INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 4 Clay Street, LeRoy NY 14482 DESCRIPTION: First responder **FOOD SERVICE POSITION: server bartender NATURE: Food Service INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 12/16/2019 ADDRESS: 15 Miracle Drive, Henrietta NY 14623 DESCRIPTION: food service **ADVISORY POSITION: Advisor NATURE: Securities America Advisors - Position: IAR - Nature: Investment Advisory Services - Investment Related: Yes - Start Date: 9/2016 - Address: 807 Madison Ave. Apt 2 LEFT; Albany, NY 12208 INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2016 ADDRESS: 2052 21st St apt 3c Astoria NY 11105 DESCRIPTION: Investment advice **RENTAL PROPERTY POSITION: Property Owner NATURE: Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/09/2021 ADDRESS: 2052 21st St apt 3c Astoria NY 11105 DESCRIPTION: I am buying a property at 22 South Street LeRoy NY 14482, which is a rental property and provides an income stream **INSURANCE SALES POSITION: salesperson NATURE: Insurance, equity indexed life and annuities Property and casualty INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2010 ADDRESS: 5 Main Street, LeRoy NY 14482 DESCRIPTION: Sell insurance and equity indexed based products **SKI PATROL POSITION: employee NATURE: Ski Patrol - was offered position doing ski patrol as I am a firefighter. Just doing one day a week on Sat or Sunday so I can ski for free. disclosing, because I would also be paid. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/16/2022 ADDRESS: 105 Hubbell Road, Spencerport NY 14559, United States DESCRIPTION: Ski the mountain and look for people who have injured themselves.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 23, 2016 - October 31, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
Astoria, NY
Past
September 23, 2016 - October 31, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ASTORIA, NY
Past
January 22, 2013 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
Rochester, NY
Past
January 17, 2013 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
RIA
CRD#: 35830
Rochester, NY
Past
July 15, 2010 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BATAVIA, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/6/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
