Andrew J. Nelligan
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 Joseph Nelligan, who also goes by Andrew Joseph Nelligan Mr., Andrew Nelligan, 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, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - April 27, 2015
RIVER BRANCH CAPITAL LLC
August 18, 2011 - July 30, 2013
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
RIVER BRANCH CAPITAL LLC
CRD#: 153272 / SEC#: , 8-68515
Contact information
Documents
Direct owners and executive officers
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.
