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AA

Andrew J. Abe

ARES MANAGEMENT CAPITAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6076403
AA
Andrew Joseph AbeARES MANAGEMENT CAPITAL MARKETS

Professional summary

Andrew Joseph Abe is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Chicago, Illinois.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Joseph Abe'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

June 22, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 71 South Wacker Drive Suite 3500, Chicago, IL 60606
BD
CRD#: 166219
Chicago, IL
Past

May 12, 2016 - January 27, 2026

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
Chicago, IL
Past

February 11, 2016 - January 27, 2026

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

September 21, 2015 - January 14, 2016

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL

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
Colorado
(6/22/2026)
RR
Illinois
(6/22/2026)
RR
Indiana
(6/22/2026)
RR
Iowa
(6/22/2026)
RR
Michigan
(6/22/2026)
RR
Minnesota
(6/22/2026)
RR
Nebraska
(6/22/2026)
RR
North Dakota
(6/22/2026)
RR
South Dakota
(6/22/2026)
RR
Wisconsin
(6/22/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/10/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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.

Company Information

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Chicago, IL 60606

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