Andrew Roger Dowding
Professional Summary
Andrew Roger Dowding is a registered financial advisor currently at HANTZ FINANCIAL SERVICES, INC. located in Tecumseh, Michigan. Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Andrew has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Disclosures on record.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Current Firm
HANTZ FINANCIAL SERVICES, INC.
Contact Information
Main Address
26200 American Drive Fifth Floor, Southfield, MI 48034Mailing Address
26200 American Drive Fifth Floor, Southfield, MI 48034Phone Number
(248) 304-2855Established
Michigan since 06/19/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
435SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANTZ GROUP, INC. | PARENT COMPANY | — |
| ARNOLD, DAVID JOSEPH | SENIOR VP | 6738208 |
| BEEBE, JOHN FREDERICK | SENIOR VP | 4151293 |
| ESCOBEDO, SAMANTHA TRACY | SENIOR VP | 6554885 |
| HANTZ, JOHN RUSSELL | DIRECTOR | 1462066 |
| HANTZ, KIMBERLY DIANE | DIRECTOR | 5109009 |
| HANTZ, LAUREN CHRISTINE | DIRECTOR | 6737867 |
| MACHCINSKI, JOHN FRANCIS | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER | 853028 |
| MCALEAR, THOMAS CRAIG | DIRECTOR | 7517087 |
| MCCLAIN, ROBERT MATTHEW | SENIOR VP | 4768883 |
| NATALE, ANTONIO ANDRE | VICE PRESIDENT OF ASSET MANAGEMENT | 4268947 |
| RACINE, JAMIE MILLER | SENIOR VP | 4585375 |
| REID, MICHAEL ORAS | SENIOR VP | 1923539 |
| SHEA, DAVID JOSEPH | DIRECTOR | 5109005 |
| SOPER, JEFFERY HAROLD | SENIOR VP | 2205971 |
| STEVENS, DANIEL JOSEPH | SENIOR VP | 5868523 |
| YAROCH, RENEE ANN | VP/CFO/FINOP/PRINCIPAL OPERATIONS OFFICER | 2040518 |
Regulatory Assets Under Management
Total Number of Accounts
121,451AUM (Assets Under Management)
$10,000,548,132Disclosures
Regulatory Event
4Arbitration
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2023 | Cover Page | Report |
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
Primary Firm SEC Registration
HANTZ FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(12/12/2022)
(1/3/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Roger Dowding's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Roger Dowding's CRS (Customer Relationship Summary).
Similar Advisors
OPPENHEIMER & CO. INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
TRANSPACIFIC GROUP LLC