AW
Andrew R. Wallis
ROBINHOOD ASSET MANAGEMENT
Littleton, CO
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CRD#: 7504900
AW
Professional summary
Andrew Ryan Wallis, who also goes by Andrew Ryan Wallis, Andrew R Wallis, Andrew Wallis, Andy Wallis, is a registered financial advisor currently at ROBINHOOD ASSET MANAGEMENT located in Littleton, Colorado and ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
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 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Ryan Wallis | Andrew R Wallis | Andrew Wallis | Andy Wallis
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Ryan Wallis's 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®
NoneExperience
Current
February 13, 2026 - Present
ROBINHOOD ASSET MANAGEMENT
RIA
CRD#: 323736
Littleton, CO
Current
January 20, 2026 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
July 16, 2025 - October 6, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HIGHLANDS RANCH, CO
Past
July 16, 2025 - October 6, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HIGHLANDS RANCH, CO
Past
November 29, 2023 - June 10, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
December 14, 2022 - June 10, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
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".
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/20/2026)
RR
Alaska(1/20/2026)
RR
Arizona(1/20/2026)
RR
Arkansas(1/20/2026)
RR
California(1/20/2026)
IAR
California(2/17/2026)
RR
Colorado(1/20/2026)
IAR
Colorado(2/13/2026)
RR
Connecticut(1/20/2026)
RR
Delaware(1/20/2026)
RR
District of Columbia(1/20/2026)
RR
Florida(1/20/2026)
RR
Georgia(1/20/2026)
RR
Hawaii(1/20/2026)
RR
Idaho(1/20/2026)
RR
Illinois(1/20/2026)
RR
Indiana(1/20/2026)
RR
Iowa(1/20/2026)
RR
Kansas(1/20/2026)
RR
Kentucky(1/20/2026)
RR
Louisiana(1/20/2026)
RR
Maine(1/20/2026)
RR
Maryland(1/20/2026)
RR
Massachusetts(1/20/2026)
RR
Michigan(1/20/2026)
RR
Minnesota(1/20/2026)
RR
Mississippi(1/20/2026)
RR
Missouri(1/20/2026)
RR
Montana(1/20/2026)
RR
Nebraska(1/20/2026)
RR
Nevada(1/20/2026)
RR
New Hampshire(1/20/2026)
RR
New Jersey(1/20/2026)
RR
New Mexico(1/20/2026)
RR
New York(1/20/2026)
RR
North Carolina(1/20/2026)
RR
North Dakota(1/20/2026)
RR
Ohio(1/20/2026)
RR
Oklahoma(1/20/2026)
RR
Oregon(1/20/2026)
RR
Pennsylvania(1/20/2026)
RR
Puerto Rico(1/20/2026)
RR
Rhode Island(1/20/2026)
RR
South Carolina(1/20/2026)
RR
South Dakota(1/20/2026)
RR
Tennessee(1/20/2026)
RR
Texas(1/20/2026)
RR
Utah(1/20/2026)
RR
Vermont(1/20/2026)
RR
Virgin Islands(1/20/2026)
RR
Virginia(1/20/2026)
RR
Washington(1/20/2026)
RR
West Virginia(1/20/2026)
RR
Wisconsin(1/20/2026)
RR
Wyoming(1/20/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/14/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 Approved)PREMIUM
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Contact information
Main Address
85 Willow Road, Menlo Park, CA 94025
Mailing Address
Phone number
650-940-2700 EXT 31450
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 81,015 |
| AUM (Assets Under Management) | $ 158,695,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
