Andrew G. Graffeo

BROOKFIELD SECURITIES LLC

New York, NY 10281

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CRD#: 6971586

Professional summary

Andrew Gioia Graffeo, who also goes by Andrew G Graffeo, Andrew Gioia Graffeo Mr, Andrew Graffeo, is a registered financial professional currently at BROOKFIELD SECURITIES LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew G Graffeo | Andrew Gioia Graffeo Mr | Andrew Graffeo

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 Gioia Graffeo'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®

None

Experience

Current

June 4, 2024 - Present

BROOKFIELD SECURITIES LLC

Office #1: 250 Vesey St 15th Floor, New York, NY 10281

CRD#: 327792

New York, NY

Past

March 19, 2024 - May 17, 2024

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

NEW YORK, NY

Past

July 22, 2021 - March 24, 2023

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 6, 2018 - June 29, 2021

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/30/2024)

Alaska
(8/7/2024)

Arizona
(8/19/2024)

Arkansas
(10/3/2024)

California
(7/22/2024)

Colorado
(7/18/2024)

Connecticut
(8/1/2024)

Delaware
(7/25/2024)

District of Columbia
(8/27/2024)

Florida
(12/12/2024)

Georgia
(8/9/2024)

Hawaii
(8/22/2024)

Idaho
(7/3/2024)

Illinois
(10/18/2024)

Indiana
(8/22/2024)

Iowa
(7/19/2024)

Kansas
(8/5/2024)

Kentucky
(8/30/2024)

Louisiana
(7/3/2024)

Maine
(9/20/2024)

Maryland
(5/12/2025)

Massachusetts
(10/18/2024)

Michigan
(8/30/2024)

Minnesota
(10/22/2024)

Mississippi
(8/30/2024)

Missouri
(1/3/2025)

Montana
(8/30/2024)

Nebraska
(8/30/2024)

Nevada
(8/30/2024)

New Hampshire
(9/4/2024)

New Jersey
(9/27/2024)

New Mexico
(10/1/2024)

New York
(6/5/2024)

North Carolina
(8/30/2024)

North Dakota
(8/30/2024)

Ohio
(8/30/2024)

Oklahoma
(8/30/2024)

Oregon
(10/2/2024)

Pennsylvania
(9/10/2024)

Puerto Rico
(3/24/2025)

Rhode Island
(8/30/2024)

South Carolina
(1/29/2025)

South Dakota
(8/30/2024)

Tennessee
(9/19/2024)

Texas
(4/15/2025)

Utah
(9/25/2024)

Vermont
(8/30/2024)

Virgin Islands
(2/28/2025)

Virginia
(9/11/2024)

Washington
(9/9/2024)

West Virginia
(1/21/2025)

Wisconsin
(9/24/2024)

Wyoming
(1/21/2025)

Exams

State Security Law Exam

Series 63

Date: 8/6/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/6/2018

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

BROOKFIELD SECURITIES LLC

CRD#: 327792 / SEC#: , 8-71170

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

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Contact information

Main Address

250 Vesey Street 15th Floor, New York, NY 10281

Mailing Address

250 Vesey Street 15th Floor, New York, NY 10281

Phone number

(212) 978-1737

Established

Delaware since 07/13/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BCS HOLDINGS I LP	OWNER
BECK, RAFAEL	FINOP	5718571
BEDORE, ELISABETH	CHIEF COMPLIANCE OFFICER	5311786
RUSSELL, RACHEL WANYING	PRESIDENT	4820201

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Andrew G. Graffeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Gioia Graffeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKFIELD SECURITIES LLC

BROOKFIELD PRIVATE ADVISORS LLC

DEUTSCHE BANK SECURITIES INC.

SCOTIA CAPITAL (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/2018

SIE

Date: 10/1/2018

Series 79

Date: 9/6/2018

FINRA

Current Firm

BROOKFIELD SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROOKFIELD SECURITIES LLC

TRUST BUT VERIFY

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