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AH

Andrew Heaton

CAIS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6818994
AH

Professional summary

Andrew Heaton, who also goes by Andrew Phillip Heaton, Andrew Heaton, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2019. Andrew has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Phillip Heaton | Andrew Heaton

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 Heaton'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

October 10, 2023 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022
BD
CRD#: 154512
NEW YORK, NY
Past

January 11, 2022 - October 9, 2023

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
AUSTIN, TX
Past

July 8, 2021 - October 9, 2023

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
Austin, TX
Past

August 28, 2019 - June 24, 2021

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
Austin, TX

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
(9/5/2024)
RR
Arkansas
(9/5/2024)
RR
Illinois
(9/5/2024)
RR
Indiana
(9/5/2024)
RR
Iowa
(9/5/2024)
RR
Kansas
(9/5/2024)
RR
Louisiana
(9/5/2024)
RR
Michigan
(9/5/2024)
RR
Minnesota
(9/5/2024)
RR
Mississippi
(9/5/2024)
RR
Missouri
(9/5/2024)
RR
Nebraska
(9/5/2024)
RR
New Mexico
(9/5/2024)
RR
New York
(10/10/2023)
RR
North Dakota
(9/5/2024)
RR
Ohio
(9/5/2024)
RR
Oklahoma
(9/5/2024)
RR
South Dakota
(9/5/2024)
RR
Texas
(10/10/2023)
RR
Wisconsin
(9/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/10/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/6/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

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

Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
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#
CAPITAL INTEGRATION SYSTEMS LLCPARENT/OWNER
BROWN, MATTHEW CRAWFORDCEO/MEMBER/EXECUTIVE REP.2160159
COLLINS, MICHAEL PATRICKCCO5366193
KRZAK, ALEXANDER JACOBPOO6349160
PARISE, JANICE DRUFINOP/PFO2338583
PREMSELAAR, MARC KLEINSENIOR MANAGING DIRECTOR5395973
SHANNON, TIMOTHY BRIANPRESIDENT4461906
WALKER, BRADLEY JAYSENIOR MANAGING DIRECTOR5000838

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

CAIS CAPITAL LLC

CRD#: 154512New York, NY 10022

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