Andrew C. Foster
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 Clinton Foster was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2013. Andrew had worked at 2 firms and has passed the Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2020 - June 17, 2021
OCEAN TOMO INVESTMENT GROUP, LLC
February 26, 2013 - July 14, 2014
WESTERN RESERVE PARTNERS LLC
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: 11/18/2020
General Securities Representative ExaminationCurrent Firm
OCEAN TOMO INVESTMENT GROUP, LLC
CRD#: 172912 / SEC#: , 8-69526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCEAN TOMO, LLC | SOLE MEMBER | |
| SPINDEL, HOWARD | CEO/CCO | 708042 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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