Andrew J. Argen

FACET

Tampa, FL

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CRD#: 7269256

Professional summary

Andrew J Argen, who also goes by Andrew J Argen, Andrew Argen, is a registered financial advisor currently at FACET located in Tampa, Florida.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Andrew has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew J Argen | Andrew Argen

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) - RIA

Click below to view Andrew J Argen's CRS (Customer Relationship Summary).

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

January 9, 2026 - Present

FACET

RIA

CRD#: 285961

Tampa, FL

Past

March 29, 2023 - January 7, 2026

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

March 28, 2023 - January 7, 2026

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 19, 2023 - March 14, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

July 31, 2020 - December 16, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Tampa, FL

Past

July 27, 2020 - December 16, 2022

MORGAN STANLEY

CRD#: 149777

Tampa, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/16/2026)

IAR

Texas
(1/9/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/20/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/27/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/31/2019

Securities Industry Essentials Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

2054 Vista Parkway Ste 400, West Palm Beach, FL 33411

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

168

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/4/2026)

Regulatory assets under management

Total Number of Accounts	39,720
AUM (Assets Under Management)	$ 6,037,907,630

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Argen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew J Argen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

EMPOWER FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2020

Series 7TO

Date: 7/27/2020

SIE

Date: 10/31/2019

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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