Andrew S. Wyatt
Professional summary
Andrew Smith Wyatt, who also goes by Andrew Smith Wyatt, Andrew Wyatt, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Smith Wyatt's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2024 - Present
REGIONS SECURITIES LLC
Office #1: 615 South College Street, Charlotte, NC 28202March 22, 2024 - September 24, 2024
TRUIST SECURITIES, INC.
August 28, 2018 - August 24, 2022
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2024)
(10/11/2024)
Exams
FINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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