Andrew T. Richless
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 Richless was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2011. Andrew had worked at 2 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 7 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2024 - August 11, 2025
PERSHING LLC
May 16, 2013 - August 11, 2025
BNY MELLON CAPITAL MARKETS, LLC
October 26, 2011 - August 24, 2016
PERSHING 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
What does exam status mean?
Series 52TO
Passed: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Passed: 1/2/2023
Securities Trader ExamCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
