Craig J. Andreotta
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.
Craig James Andreotta was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1979. Craig had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2008 - September 4, 2013
HENNION & WALSH, INC.
November 7, 2001 - May 30, 2008
SCOTTRADE, INC.
March 7, 2000 - November 6, 2001
CHARLES SCHWAB & CO., INC.
December 3, 1997 - August 5, 1998
FIRST UNION BROKERAGE SERVICES, INC.
April 27, 1985 - June 10, 1993
CHARLES SCHWAB & CO., INC.
October 27, 1983 - September 17, 1984
UJB DISCOUNT BROKERAGE CO.
August 27, 1980 - May 5, 1983
UBS FINANCIAL SERVICES INC.
December 26, 1979 - July 27, 1987
PHILIPS, APPEL & WALDEN, 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
Exams
Series 8
Date: 10/19/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
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.
