Andrew Carlough
Professional summary
Andrew Carlough, who also goes by Andrew Phillip Carlough, is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Carlough's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2025 - Present
CAPITOLIS GLOBAL BROKER DEALER LLC
Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036Office #2: 11 W. 42nd Street, 15th Floor, New York, NY 10036October 24, 2022 - February 12, 2025
HILLTOP SECURITIES INC.
June 28, 2022 - July 27, 2022
CREWS & ASSOCIATES, INC.
February 8, 2022 - June 17, 2022
R. SEELAUS & CO., LLC
February 23, 2015 - January 28, 2022
RBC CAPITAL MARKETS, LLC
May 2, 2011 - February 13, 2015
R. SEELAUS & CO., 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
(3/24/2025)
Exams
FINRA
Current Firm
CAPITOLIS GLOBAL BROKER DEALER LLC
CRD#: 325346 / SEC#: , 8-71056
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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