AL
Andrew W. Lueck
STONEX SECURITIES
SPOKANE, WA
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CRD#: 5880394
AL
Professional summary
Andrew William Lueck, who also goes by Andrew W Lueck, is a registered financial professional currently at STONEX SECURITIES INC. located in Spokane, Washington.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew W Lueck
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.
MULTIPLE ESTABLISHED COMPANIES - NON-INVESTMENT RELATED. N 9407 FORKER RD,SPOKANE, WA 99217. SALE OF LIFE, DISABILITY, AND LONG TERM CARE POLICIES. 0% OWNER, INDEPENDENT CONTRACTOR/PRODUCER, STARTED 3/2010. 10-20 HRS/MO, NONE DURING TRADING HOURS. DUTIES: INSURANCE PRODUCER, CONSULTATION AND SALE OF POLICIES AS APPLICABLE TO CLIENT NEEDS. FARM PRODUCER - NON INVESTMENT RELATED. N. 9407 FORKER RD. SPOKANE WA 99217. NATURE OF BUSINESS: PRODUCTION OF AGRICULTURAL COMMODITIES AND LIVESTOCK FOR SALE. 50% OWNER, POSITION: CO-OWNER. STARTED 10/15/14. 5-10 HRS/MO AND 0 HRS/MO DURING TRADING HOURS. DUTIES: PRODUCTION AND SALE OF GRAIN AND FEED USED IN LIVESTOCK GROWING AND PRODUCTION AS WELL AS SALE OF LIVESTOCK.
CRS (Client Relationship Summary) - BD
Click below to view Andrew William Lueck'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®
NoneExperience
Current
December 6, 2019 - Present
STONEX SECURITIES INC.
BD
CRD#: 18456
SPOKANE, WA
Past
December 6, 2019 - August 16, 2023
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
April 21, 2014 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
April 11, 2014 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
SPOKAN, WA
Past
September 24, 2011 - May 7, 2013
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
POST FALLS, ID
Past
May 12, 2011 - May 7, 2013
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
POST FALLS, ID
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Idaho(12/6/2019)
RR
Washington(12/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.
CRD#: 18456 / SEC#: , 8-36638
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
