Andrew M. Sills
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 Michael Sills was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2017. Andrew had worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2020 - April 7, 2022
OCEAN TOMO INVESTMENT GROUP, LLC
February 22, 2019 - April 29, 2020
HOULIHAN LOKEY CAPITAL, INC.
April 10, 2017 - May 16, 2019
OCEAN TOMO INVESTMENT GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 4/4/2019
Investment Banking Registered Representative ExaminationCurrent Firm
OCEAN TOMO INVESTMENT GROUP, LLC
CRD#: 172912 / SEC#: , 8-69526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCEAN TOMO, LLC | SOLE MEMBER | |
| SPINDEL, HOWARD | CEO/CCO | 708042 |
Red Flags
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