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AW

Andrew Weiss

Some features on this profile are disabled
CRD#: 6710143
AW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Weiss was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2017. Andrew had worked at 3 firms and has passed the Series 22TO, SIE and Series 22 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2020 - July 14, 2022

NC SECURITIES, LLC

BD
CRD#: 141074
EASTON, MD
Past

October 25, 2017 - March 17, 2018

FORIS CAPITAL US LLC

BD
CRD#: 282331
Bethesda, MD
Past

January 7, 2017 - May 24, 2017

GEM SECURITIES, LLC

BD
CRD#: 171344
BETHESDA, MD

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 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 1/7/2017
Direct Participation Programs Representative Examination

Current Firm

NS
NC SECURITIES, LLC
NC SECURITIES, LLC

CRD#: 141074 / SEC#: , 8-67360

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

Main Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Mailing Address
101 Marlboro Avenue Suite 53, Easton, MD 21601
Phone number
(240) 988-1296
Established
Delaware since 09/28/2005
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#
NATIONAL CAPITAL COMPANIES, LLCMEMBER
ALBERTINI, WENDY ANNEFINOP, PRINCIPAL5171062
WOMER, DARREN SCOTTPRESIDENT, CEO, CCO, EXECUTICE REP2618788

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

NC SECURITIES, LLC

CRD#: 141074

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