Andrew E. O'riordan
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.
Andrew Eoghan O'riordan, who also goes by Andrew E O'riordan, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2021. Andrew had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2021 - February 17, 2022
EAGLEBROOK ADVISORS
March 8, 2021 - May 1, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EAGLEBROOK ADVISORS
CRD#: 304438 / SEC#: 801-122813
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 6TO
Date: 3/5/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EAGLEBROOK ADVISORS
CRD#: 304438 / SEC#: 801-122813
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 991 |
| AUM (Assets Under Management) | $ 350,185,986 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 |
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.
