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AY

Andrew S. Yazmer

PHILOSMITH SECURITIES LLC
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 6680225
AY

Professional summary

Andrew Scott Yazmer, who also goes by Andrew Yazmer, is a registered financial professional currently at PHILOSMITH SECURITIES LLC located in Stamford, Connecticut.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2016. Andrew has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Yazmer

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 Scott Yazmer'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

January 8, 2020 - Present

PHILOSMITH SECURITIES LLC

Office #1: Six Landmark Square, Stamford, CT 06901Office #2: Six Landmark Square, Stamford, CT 06901
BD
CRD#: 281177
Stamford, CT
Past

October 10, 2016 - June 12, 2019

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY

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
Connecticut
(3/28/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/10/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PHILOSMITH SECURITIES LLC
PHILOSMITH SECURITIES LLC

CRD#: 281177 / SEC#: , 8-69669

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

Main Address
Six Landmark Square, Stamford, CT 06901
Mailing Address
Six Landmark Square, Stamford, CT 06901
Phone number
(203) 348-7365
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PHILOSMITH CAPITAL CORPORATIONSOLEMEMBER
COHEN, EDWARD BARRYFINOP1029283
HAGERTY, FRANCIS JOSEPHVICE PRESIDENT5796567
OGRADY, MICHELE CORRIDORPRESIDENT, CCO3191120
SALMON, DAVID ANTHONYVICE PRESIDENT5156177

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

PHILOSMITH SECURITIES LLC

CRD#: 281177Stamford, CT 06901

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