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AL

Andrea K. Loredo

NASDAQ EXECUTION SERVICES
New York, NY 10036
Some features on this profile are disabled
CRD#: 6077342
AL

Professional summary

Andrea Kimberly Loredo, who also goes by Andrea K Loredo, Andrea Loredo, Andrea Loredo Bachalis, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in New York, New York.

Andrea is registered as a RR (Registered Representative) and started their career in finance in 2012. Andrea has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrea K Loredo | Andrea Loredo | Andrea Loredo Bachalis

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 Andrea Kimberly Loredo'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®
None

Experience

Current

September 21, 2020 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 151 W 42nd Street, New York, NY 10036
BD
CRD#: 7270
New York, NY
Past

September 23, 2016 - October 25, 2018

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

October 1, 2012 - March 23, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 10, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY

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
New Jersey
(9/21/2020)
RR
New York
(9/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2012
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 6
Date: 7/9/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NE
NASDAQ EXECUTION SERVICES, LLC
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC

CRD#: 7270 / SEC#: , 8-37329

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

Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Phone number
(215) 496-5000
Established
Delaware since 11/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE NASDAQ STOCK MARKET, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
LAWN, DAVID EDWARDCHIEF EXECUTIVE OFFICER3155025
MARIGLIANO, DONALD EDWARD JRREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL1843181

Disclosures

Regulatory Event10

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

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270New York, NY 10036

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