Andre Huaman

THREE BELL CAPITAL LLC

Dallas, TX 75201

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CRD#: 5959431

Professional summary

Andre Huaman, who also goes by Andre E Huaman, Andre Ernesto Huaman, is a registered financial advisor currently at THREE BELL CAPITAL LLC located in Dallas, Texas.

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Andre has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andre E Huaman | Andre Ernesto Huaman

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.

NAME OF OTHER BUSINESS: THREE BELL CAPITAL, LLC; IS BUSINESS INVESTMENT RELATED: YES; ADDRESS: 4 MAIN STREET, SUITE 230, LOS ALTOS, CA 94022; NATURE: PRIVATE WEALTH MANAGEMENT, CORPORATE RETIREMENT PLANS; TITLE: PARTNER; START DATE: 09/2013; APPROXIMATE HOURS PER MONTH SPENT ON OTHER BUSINESS: 160 HOURS; APPROXIMATELY NUMBER OF HOURS SPENT DURING SECURITIES TRADING HOURS: 7.50 HOURS; DUTIES: BUSINESS DEVELOPMENT, RELATIONSHIP MANAGEMENT, OPERATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Huaman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 30, 2013 - Present

THREE BELL CAPITAL LLC

Office #1: 1925 Cedar Springs Road Suite 102, Dallas, TX 75201

RIA

CRD#: 159736

Dallas, TX

Past

September 21, 2017 - November 5, 2018

RAINMAKER SECURITIES, LLC

CRD#: 132995

CORAL GABLES, FL

Past

August 24, 2017 - March 31, 2020

KW SECURITIES CORPORATION

CRD#: 8237

SMITHTOWN, NY

Past

February 6, 2015 - November 16, 2015

EMERSON EQUITY LLC

CRD#: 130032

LOS ALTOS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THREE BELL CAPITAL LLC

CRD#: 159736 / SEC#: 801-79156

RIA

Registered Investment Advisory firm - (2/18/2014 Approved)

California

Registered Investment Advisory firm - (8/2/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/30/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/3/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/15/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/2015

General Securities Representative Examination

Current Firm

THREE BELL CAPITAL LLC

CRD#: 159736 / SEC#: 801-79156

RIA

Registered Investment Advisory firm - (2/18/2014 Approved)

California

Registered Investment Advisory firm - (8/2/2014 Terminated)

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Contact information

Main Address

1925 Cedar Springs Road Suite 102, Dallas, TX 75201

Mailing Address

Phone number

(650) 843-9836

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TBC FORM ADV, PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	556
AUM (Assets Under Management)	$ 3,802,284,800

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Andre Huaman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Huaman's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAINMAKER SECURITIES, LLC

KW SECURITIES CORPORATION

EMERSON EQUITY LLC

Primary Firm SEC Registration

THREE BELL CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/2015

Series 65

Date: 11/15/2012

SIE

Date: 10/1/2018

Series 7

Date: 2/6/2015

Current Firm

THREE BELL CAPITAL LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THREE BELL CAPITAL LLC

TRUST BUT VERIFY

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