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AG

Andrew N. Gardener

CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 6458209
AG

Professional summary

Andrew Nathan Gardener, who also goes by Nathan Gardener, is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2015. Andrew has worked at 2 firms and has passed the Series 16, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nathan Gardener

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 Nathan Gardener'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

July 7, 2022 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
RIA
BD
CRD#: 165533
New York, NY
Past

November 10, 2015 - April 6, 2022

SBERBANK CIB USA, INC.

BD
CRD#: 47972
LONDON,

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 16
Date: 3/30/2022
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/27/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)
Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)
Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECCO2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CFO-FINOP2680290
PARK, EDWARDBOARD MEMBER7550990
SCHWARTZ, BRADLEY HARRISBOARD MEMBER, CEO2372237
ZHANG, HUIZIBOARD MEMBER8008880

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

CLSA AMERICAS, LLC

CRD#: 165533New York, NY 10036

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