Andrew R. Kirby
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 Robert Kirby, who also goes by Andrew Kirby, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2012. Andrew had worked at 7 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 3, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2023 - June 7, 2024
BOK FINANCIAL PRIVATE WEALTH, INC.
August 23, 2019 - October 26, 2020
AVALON INVESTMENT & ADVISORY
July 10, 2019 - October 26, 2020
AVALON WEALTH MANAGEMENT LLC
May 21, 2013 - October 8, 2015
MANNING & NAPIER ADVISORS, LLC
May 16, 2013 - October 8, 2015
MANNING & NAPIER INVESTOR SERVICES, INC.
May 4, 2012 - April 23, 2013
ALLIANCEBERNSTEIN L.P.
January 23, 2012 - April 23, 2013
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
BOK FINANCIAL PRIVATE WEALTH, INC.
CRD#: 106733 / SEC#: 801-51401
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
Series 7TO
Date: 7/10/2019
General Securities Representative ExaminationCurrent Firm
BOK FINANCIAL PRIVATE WEALTH, INC.
CRD#: 106733 / SEC#: 801-51401
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,179 |
| AUM (Assets Under Management) | $ 3,185,223,176 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 | ||
| 09/26/2022 |
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.
