Andrew L. Pittman
Professional summary
Andrew Lewis Pittman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Andrew had worked at 13 firms, which includes PARKLAND SECURITIES LLC, QUESTAR CAPITAL CORPORATION, ALLSTATE FINANCIAL SERVICES LLC, AFS BROKERAGE INC., UVEST FINANCIAL SERVICES GROUP INC., AMUNI FINANCIAL INC., RAYMOND JAMES FINANCIAL SERVICES INC., KIRLIN SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, RAYMOND JAMES & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2011 - March 8, 2013
PARKLAND SECURITIES, LLC
August 24, 2011 - October 13, 2011
QUESTAR CAPITAL CORPORATION
June 21, 2007 - August 5, 2011
ALLSTATE FINANCIAL SERVICES, LLC
March 8, 2005 - June 18, 2007
AFS BROKERAGE, INC.
January 10, 2005 - March 3, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
July 20, 2004 - January 3, 2005
AFS BROKERAGE, INC.
January 2, 2004 - July 16, 2004
AMUNI FINANCIAL, INC.
August 14, 2002 - January 5, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 26, 2002 - August 14, 2002
KIRLIN SECURITIES INC.
May 17, 1988 - February 15, 1989
AMUNI FINANCIAL, INC.
February 21, 1987 - June 16, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 12, 1987 - June 28, 1988
EQUITABLE ADVISORS, LLC
October 11, 1985 - December 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1982 - October 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1981 - March 30, 1982
RAYMOND JAMES & ASSOCIATES, 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
Current Firm
PARKLAND SECURITIES, LLC
CRD#: 115368 / SEC#: , 8-53482
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | |
| BAUER, KRISTEN ANNE | TRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | 2457506 |
| DUNBAR, THERESA LYNN | TRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | 7346975 |
| ELLISON, CARL | TRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/2020 | 7342594 |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | 2933397 |
| RYDELL, JEROME MATTHEW | TRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | 7346979 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED | 408389 |
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING INTERESTS) | |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
Red Flags
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