AF
Andrew S. Ferraro
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6030489
AF
Professional summary
Andrew Stephen Ferraro, who also goes by Andrew Ferraro, Drew Ferraro, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Ferraro | Drew Ferraro
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 name of the other business: Ferraro Family Holdings LLC the address of the other business: 7801 Pleasure Ave, Unit C-A, Sea Isle City, NJ 08243, United States the nature of the other business: Real Estate Rental Property your position: Class B Member the start date of your relationship: 11/23/2022 the approximate number of hours/month you devote to the other business: 1 hour a month the number of hours you devote to the other business during securities trading hours: 0 hours and briefly describe your duties relating to the other business: I help with the maintenance of the house and assisting in rental turnovers throughout the year.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Stephen Ferraro'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
September 30, 2024 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
February 3, 2017 - October 1, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
February 2, 2017 - October 1, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
January 4, 2016 - January 18, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
Andover, MA
Past
August 29, 2013 - January 18, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
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(9/30/2024)
RR
Alaska(9/30/2024)
RR
Arizona(9/30/2024)
RR
Arkansas(9/30/2024)
RR
California(9/30/2024)
RR
Colorado(9/30/2024)
RR
Connecticut(9/30/2024)
RR
Delaware(9/30/2024)
RR
District of Columbia(9/30/2024)
RR
Florida(9/30/2024)
RR
Georgia(9/30/2024)
RR
Hawaii(9/30/2024)
RR
Idaho(9/30/2024)
RR
Illinois(9/30/2024)
RR
Indiana(9/30/2024)
RR
Iowa(9/30/2024)
RR
Kansas(9/30/2024)
RR
Kentucky(9/30/2024)
RR
Louisiana(9/30/2024)
RR
Maine(9/30/2024)
RR
Maryland(9/30/2024)
RR
Massachusetts(9/30/2024)
RR
Michigan(9/30/2024)
RR
Minnesota(9/30/2024)
RR
Mississippi(9/30/2024)
RR
Missouri(9/30/2024)
RR
Montana(9/30/2024)
RR
Nebraska(9/30/2024)
RR
Nevada(9/30/2024)
RR
New Hampshire(9/30/2024)
RR
New Jersey(9/30/2024)
RR
New Mexico(9/30/2024)
RR
New York(9/30/2024)
RR
North Carolina(9/30/2024)
RR
North Dakota(9/30/2024)
RR
Ohio(9/30/2024)
RR
Oklahoma(9/30/2024)
RR
Oregon(9/30/2024)
RR
Pennsylvania(9/30/2024)
RR
Puerto Rico(9/30/2024)
RR
Rhode Island(9/30/2024)
RR
South Carolina(9/30/2024)
RR
South Dakota(9/30/2024)
RR
Tennessee(9/30/2024)
RR
Texas(9/30/2024)
RR
Utah(9/30/2024)
RR
Vermont(9/30/2024)
RR
Virgin Islands(9/30/2024)
RR
Virginia(9/30/2024)
RR
Washington(9/30/2024)
RR
West Virginia(9/30/2024)
RR
Wisconsin(9/30/2024)
RR
Wyoming(9/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/30/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
