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AS

Andrew J. Stefany

NPM SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 6665892
AS

Professional summary

Andrew John Stefany, who also goes by Andrew Stefany, Andy Stefany, is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 3 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Stefany | Andy Stefany

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 John Stefany'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

June 5, 2025 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor, New York, NY 10016
BD
CRD#: 168469
New York, NY
Past

September 18, 2024 - June 4, 2025

STARTENGINE PRIMARY LLC

BD
CRD#: 291773
BURBANK, CA
Past

September 4, 2018 - July 28, 2022

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
New York, NY
Past

August 28, 2018 - July 28, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Alabama
(6/5/2025)
RR
Alaska
(6/12/2025)
RR
Arizona
(6/11/2025)
RR
Arkansas
(6/16/2025)
RR
California
(6/11/2025)
RR
Colorado
(6/6/2025)
RR
Connecticut
(6/6/2025)
RR
Delaware
(6/9/2025)
RR
District of Columbia
(6/9/2025)
RR
Florida
(6/5/2025)
RR
Georgia
(6/30/2025)
RR
Hawaii
(6/20/2025)
RR
Idaho
(6/10/2025)
RR
Illinois
(6/5/2025)
RR
Indiana
(6/10/2025)
RR
Iowa
(6/5/2025)
RR
Kansas
(6/5/2025)
RR
Kentucky
(6/5/2025)
RR
Louisiana
(6/10/2025)
RR
Maine
(6/9/2025)
RR
Maryland
(6/9/2025)
RR
Massachusetts
(6/6/2025)
RR
Michigan
(6/5/2025)
RR
Minnesota
(6/5/2025)
RR
Mississippi
(6/5/2025)
RR
Missouri
(6/9/2025)
RR
Montana
(6/5/2025)
RR
Nebraska
(6/5/2025)
RR
Nevada
(6/8/2025)
RR
New Hampshire
(6/9/2025)
RR
New Jersey
(6/5/2025)
RR
New Mexico
(6/10/2025)
RR
New York
(6/15/2025)
RR
North Carolina
(6/12/2025)
RR
North Dakota
(6/9/2025)
RR
Ohio
(6/9/2025)
RR
Oklahoma
(6/5/2025)
RR
Oregon
(6/10/2025)
RR
Pennsylvania
(6/9/2025)
RR
Puerto Rico
(6/16/2025)
RR
Rhode Island
(6/10/2025)
RR
South Carolina
(6/5/2025)
RR
South Dakota
(6/10/2025)
RR
Tennessee
(6/9/2025)
RR
Texas
(6/5/2025)
RR
Utah
(6/6/2025)
RR
Vermont
(6/9/2025)
RR
Virgin Islands
(6/9/2025)
RR
Virginia
(6/6/2025)
RR
Washington
(6/16/2025)
RR
West Virginia
(6/16/2025)
RR
Wisconsin
(6/10/2025)
RR
Wyoming
(6/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/7/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NPM SECURITIES, LLC
NPM SECURITIES, LLC

CRD#: 168469 / SEC#: , 8-69312

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

Main Address
3 East 28th Street 7th Floor, New York, NY 10016
Mailing Address
3 East 28th Street 7th Floor, New York, NY 10016
Phone number
(646) 968-7064
Established
Delaware since 05/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

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)

Direct owners and executive officers

NamePositionCRD#
NASDAQ PRIVATE MARKET, LLC (FKA: COPELAND MARKETS)SHAREHOLDER
AFONJA, LATIFATFINOP5443130
CALLAHAN, THOMAS FRANCISCHIEF EXECUTIVE OFFICER2278823
KROCULICK, ANDREW JOHNHEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE7759899
SETARO, CHRISTOPHER MICHAELCHIEF COMPLIANCE OFFICER2635774

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

NPM SECURITIES, LLC

CRD#: 168469New York, NY 10016

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