AW
Andrew M. Wirthlin
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
Some features on this profile are disabled
CRD#: 5904476
AW
Professional summary
Andrew M. Wirthlin, who also goes by Andrew Michael Wirthlin, Andrew Wirthlin, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Michael Wirthlin | Andrew Wirthlin
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew M. Wirthlin'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
June 6, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Current
May 11, 2016 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015BD
CRD#: 13041
Covington, KY
Current
April 14, 2021 - Present
DIGITAL BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310BD
CRD#: 308213
Jersey City, NJ
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
Alabama(7/14/2011)
RR
Alaska(7/14/2011)
RR
Arizona(7/14/2011)
RR
Arkansas(7/14/2011)
RR
California(7/14/2011)
RR
Colorado(7/14/2011)
RR
Connecticut(7/14/2011)
RR
Delaware(7/14/2011)
RR
District of Columbia(7/14/2011)
RR
Florida(7/14/2011)
RR
Georgia(7/14/2011)
RR
Hawaii(7/14/2011)
RR
Idaho(7/14/2011)
RR
Illinois(7/14/2011)
RR
Indiana(7/14/2011)
RR
Iowa(7/14/2011)
RR
Kansas(7/14/2011)
RR
Kentucky(6/14/2011)
RR
Louisiana(7/14/2011)
RR
Maine(7/14/2011)
RR
Maryland(7/14/2011)
RR
Massachusetts(7/14/2011)
RR
Michigan(7/14/2011)
RR
Minnesota(7/14/2011)
RR
Mississippi(7/14/2011)
RR
Missouri(7/14/2011)
RR
Montana(7/14/2011)
RR
Nebraska(7/14/2011)
RR
Nevada(7/14/2011)
RR
New Hampshire(7/14/2011)
RR
New Jersey(7/14/2011)
RR
New Mexico(7/14/2011)
RR
New York(7/14/2011)
RR
North Carolina(7/19/2011)
RR
North Dakota(10/7/2011)
RR
Ohio(7/15/2011)
RR
Oklahoma(7/14/2011)
RR
Oregon(7/14/2011)
RR
Pennsylvania(7/14/2011)
RR
Puerto Rico(1/5/2018)
RR
Rhode Island(7/14/2011)
RR
South Carolina(7/14/2011)
RR
South Dakota(10/7/2011)
RR
Tennessee(10/7/2011)
RR
Texas(7/14/2011)
RR
Utah(7/14/2011)
RR
Vermont(7/14/2011)
RR
Virgin Islands(10/7/2011)
RR
Virginia(7/14/2011)
RR
Washington(7/14/2011)
RR
West Virginia(7/14/2011)
RR
Wisconsin(7/14/2011)
RR
Wyoming(7/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DB
DIGITAL BROKERAGE SERVICES LLC
DIGITAL BROKERAGE SERVICES LLC
CRD#: 308213 / SEC#: , 8-70512
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
499 Washington Blvd, Jersey City, NJ 07310
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(833) 327-3444
Established
Delaware since 02/27/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| CULLARO, GIUSEPPE | PRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 4738727 |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| O'BRIEN, EDWARD DANIEL | DIRECTOR | 2239064 |
| RHODES, NOAH BUTLER | PRINCIPAL FINANCIAL OFFICER | 6546392 |
| WEAVER, BRYAN ROBERT | CHIEF LEGAL OFFICER | 2933941 |
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.
