AC
Andrew J. Ciccone
KESTRA INVESTMENT SERVICES
Austin, TX 78735
Some features on this profile are disabled
CRD#: 6864958
AC
Professional summary
Andrew John Ciccone, who also goes by Andrew Ciccone, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2017. Andrew has worked at 4 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Ciccone
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew John Ciccone'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®
NoneExperience
Current
May 22, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
March 30, 2023 - May 6, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
June 26, 2019 - April 20, 2020
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
Southlake, TX
Past
November 14, 2017 - May 6, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
Westlake, 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(5/22/2024)
RR
Alaska(5/22/2024)
RR
Arizona(5/22/2024)
RR
Arkansas(5/22/2024)
RR
California(5/22/2024)
RR
Colorado(5/22/2024)
RR
Connecticut(5/22/2024)
RR
Delaware(5/22/2024)
RR
District of Columbia(5/22/2024)
RR
Florida(5/22/2024)
RR
Georgia(5/22/2024)
RR
Hawaii(5/22/2024)
RR
Idaho(5/22/2024)
RR
Illinois(5/22/2024)
RR
Indiana(5/22/2024)
RR
Iowa(5/22/2024)
RR
Kansas(5/22/2024)
RR
Kentucky(5/22/2024)
RR
Louisiana(5/22/2024)
RR
Maine(5/22/2024)
RR
Maryland(5/22/2024)
RR
Massachusetts(5/22/2024)
RR
Michigan(5/22/2024)
RR
Minnesota(5/22/2024)
RR
Mississippi(5/22/2024)
RR
Missouri(5/22/2024)
RR
Montana(5/22/2024)
RR
Nebraska(5/22/2024)
RR
Nevada(5/22/2024)
RR
New Hampshire(5/22/2024)
RR
New Jersey(5/22/2024)
RR
New Mexico(5/22/2024)
RR
New York(5/22/2024)
RR
North Carolina(5/24/2024)
RR
North Dakota(5/22/2024)
RR
Ohio(5/22/2024)
RR
Oklahoma(5/22/2024)
RR
Oregon(5/22/2024)
RR
Pennsylvania(5/22/2024)
RR
Puerto Rico(5/22/2024)
RR
Rhode Island(5/22/2024)
RR
South Carolina(5/22/2024)
RR
South Dakota(5/22/2024)
RR
Tennessee(5/22/2024)
RR
Texas(5/22/2024)
RR
Utah(5/22/2024)
RR
Vermont(5/22/2024)
RR
Virgin Islands(5/22/2024)
RR
Virginia(5/22/2024)
RR
Washington(5/22/2024)
RR
West Virginia(5/22/2024)
RR
Wisconsin(5/22/2024)
RR
Wyoming(5/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
