Andrew T. Shippee

RAFFERTY ASSET MANAGEMENT

NEW YORK, NY 10022

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CRD#: 7634885

Professional summary

Andrew T Shippee is a registered financial advisor currently at RAFFERTY ASSET MANAGEMENT, LLC located in New York, New York and ALPS DISTRIBUTORS, INC. located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Andrew has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew T Shippee'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®

None

Experience

Current

May 18, 2026 - Present

RAFFERTY ASSET MANAGEMENT, LLC

Office #1: 535 Madison Ave 37th Floor, New York, NY 10022

RIA

CRD#: 112526

NEW YORK, NY

Current

January 2, 2026 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 535 Madison Avenue 37th Floor, New York, NY 10022

CRD#: 16853

New York, NY

Past

November 13, 2024 - November 10, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Marco Island, FL

Past

January 21, 2023 - November 10, 2025

MORGAN STANLEY

CRD#: 149777

Marco Island, FL

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".

RAFFERTY ASSET MANAGEMENT, LLC

CRD#: 112526 / SEC#: 801-54679

RIA

Registered Investment Advisory firm - (6/25/1997 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.

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

Alabama
(1/2/2026)

Alaska
(1/2/2026)

Arizona
(1/2/2026)

Arkansas
(1/2/2026)

California
(1/2/2026)

Colorado
(1/2/2026)

Connecticut
(1/2/2026)

Delaware
(1/2/2026)

IAR

Delaware
(5/18/2026)

District of Columbia
(1/2/2026)

Florida
(1/2/2026)

Georgia
(1/2/2026)

Hawaii
(1/2/2026)

Idaho
(1/2/2026)

Illinois
(1/2/2026)

Indiana
(1/2/2026)

Iowa
(1/2/2026)

Kansas
(1/2/2026)

Kentucky
(1/2/2026)

Louisiana
(1/2/2026)

Maine
(1/2/2026)

Maryland
(1/2/2026)

Massachusetts
(1/2/2026)

Michigan
(1/2/2026)

Minnesota
(1/2/2026)

Mississippi
(1/2/2026)

Missouri
(1/2/2026)

Montana
(1/2/2026)

Nebraska
(1/2/2026)

Nevada
(1/2/2026)

New Hampshire
(1/2/2026)

New Jersey
(1/2/2026)

New Mexico
(1/2/2026)

New York
(1/2/2026)

North Carolina
(1/2/2026)

North Dakota
(1/2/2026)

Ohio
(1/2/2026)

Oklahoma
(1/2/2026)

Oregon
(1/2/2026)

Pennsylvania
(1/2/2026)

Puerto Rico
(1/2/2026)

Rhode Island
(1/2/2026)

South Carolina
(1/2/2026)

South Dakota
(1/2/2026)

Tennessee
(1/2/2026)

Texas
(1/2/2026)

Utah
(1/2/2026)

Vermont
(1/2/2026)

Virginia
(1/2/2026)

Washington
(1/2/2026)

West Virginia
(1/2/2026)

Wisconsin
(1/2/2026)

Wyoming
(1/2/2026)

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

State Security Law Exam

IAR

Series 65

Date: 11/13/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/12/2026

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 1/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/30/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

RAFFERTY ASSET MANAGEMENT, LLC

CRD#: 112526 / SEC#: 801-54679

RIA

Registered Investment Advisory firm - (6/25/1997 Approved)

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Contact information

Main Address

535 Madison Ave 37th Floor, New York, NY 10022

Mailing Address

Phone number

(646) 572-3390

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 55,241,777,722

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.

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Advisor Monitoring

Firm Stability Insights

Andrew T. Shippee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew T Shippee's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

RAFFERTY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2024

Series 63

Date: 3/9/2023

Series 3

Date: 1/12/2026

Series 7TO

Date: 1/21/2023

SIE

Date: 9/30/2022

FINRA

Current Firm

RAFFERTY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

RAFFERTY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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