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AS

Andrew T. Sher

SWISS RE CAPITAL MARKETS
New York, NY 10019
Some features on this profile are disabled
CRD#: 6111248
AS

Professional summary

Andrew Thomas Sher is a registered financial professional currently at SWISS RE CAPITAL MARKETS CORPORATION located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Thomas Sher'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 6, 2012 - Present

SWISS RE CAPITAL MARKETS CORPORATION

Office #1: 1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
BD
CRD#: 39978
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/5/2012
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SWISS RE CAPITAL MARKETS CORPORATION
SWISS RE CAPITAL MARKETS CORPORATION

CRD#: 39978 / SEC#: , 8-48914

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

Main Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Phone number
(212) 317-5400
Established
Delaware since 10/17/1995
Firm type
Corporation
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#
SWISS RE AMERICA HOLDING CORPORATIONDIRECT OWNER
CHIN, JIAWEI MSLEGAL COUNSEL7948579
CHODKOWSKI, ADAMDIRECTOR AND CORPORATE SECRETARY
KERENYI, ATTILA FLAVIODIRECTOR7264806
KIELY, JAMES FCHIEF COMPLIANCE OFFICER2457647
MANTEUFEL, MATTHEW THOMASCHIEF FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER7684713
MONNIER, JEAN-LOUIS MARIE MARCELCHIEF EXECUTIVE OFFICER7074379
PELECKIS, ANTHONY J IIICHIEF RISK OFFICER7564033
TOPCUOGLU, SIVEZAT LALEDIRECTOR3265843

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

SWISS RE CAPITAL MARKETS CORPORATION

CRD#: 39978New York, NY 10019

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