Andrew J. Farinelli

EMBREE FINANCIAL GROUP

Chicago, IL 60654

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CRD#: 6355958

Professional summary

Andrew James Farinelli, who also goes by Andrew Farinelli, is a registered financial advisor currently at EMBREE FINANCIAL GROUP located in Chicago, Illinois.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Farinelli

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.

(1) FARINELLI FINANCIAL LLC. INVESTMENT RELATED. 2145 W WARREN BLVD. - APT. 1, CHICAGO, IL 60612. FINANCIAL PLANNING/INVESTMENT ADVICE/MANAGEMENT. OWNER AND PRESIDENT. START DATE: 12/27/2019. 200 HOURS PER MONTH/150 DURING TRADING HOURS. PROVIDE COMPREHENSIVE FINANCIAL PLANNING SERVICES WITH INVESTMENT ADVICE AND MANAGEMENT. (2) Initium Capital Partners LLC. Private Real Estate Investment Management. Managing Partner. Investment Related. 320 W. Ohio St. - Suite 610N, Chicago, IL 60654. Start Date: 3/16/2023. Hours per month during trading hours: 2. Hours per month outside trading hours: 3 (3) Andrew Farinelli Life Insurance. Owner. Licensed Life Insurance Agent. Investment related. 14 W Superior St. - Apt. 1507, Chicago, IL 60654. Hours per month during trading hours: 30. Hours per month outside trading hours: 15. Percentage of yearly income from this business: 10%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Farinelli'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

March 17, 2021 - Present

EMBREE FINANCIAL GROUP

Office #1: 440 N Wells St Suite 530, Chicago, IL 60654

RIA

CRD#: 108233

Chicago, IL

Past

December 2, 2014 - February 8, 2021

MCADAM LLC

RIA

CRD#: 170914

Chicago, IL

Past

November 5, 2014 - December 31, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Chicago, IL

Past

September 11, 2014 - October 3, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/10/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2014

General Securities Representative Examination

Current Firm

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

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Contact information

Main Address

440 N Wells St Suite 530, Chicago, IL 60654

Mailing Address

Phone number

(312) 527-5565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - EMBREE FINANCIAL GROUP (2/14/2025)

Regulatory assets under management

Total Number of Accounts	2,363
AUM (Assets Under Management)	$ 2,282,297,500

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.

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Andrew J. Farinelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Farinelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMBREE FINANCIAL GROUP

MCADAM LLC

PURSHE KAPLAN STERLING INVESTMENTS

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

EMBREE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2014

Current Firm

EMBREE FINANCIAL GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMBREE FINANCIAL GROUP

TRUST BUT VERIFY

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