Liam Cotter
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.
Liam Cotter was a registered financial professional .
Liam is a previously registered financial professional and started their career in finance in 2018. Liam had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2024 - March 28, 2024
ANDES CAPITAL GROUP, LLC
September 11, 2018 - November 18, 2022
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/26/2018
General Securities Representative ExaminationCurrent Firm
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
