Andrew M. Ross
Professional summary
Andrew Marc Ross, who also goes by Andrew Ross, is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2021. Andrew has worked at 2 firms and has passed the Series 63, Series 82TO, Series 52TO, Series 79TO, SIE and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Marc Ross's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2023 - Present
REGIMENT SECURITIES, LLC.
Office #1: 420 N. Wabash Avenue, Chicago, IL 60611October 25, 2021 - December 19, 2022
GAR WOOD SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/23/2023)
(7/12/2023)
(4/30/2024)
Exams
Series 82TO
Date: 4/27/2024
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 6/3/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 10/25/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
Red Flags
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