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AP

Andrew Pemberton

BRAINTRUST
SARASOTA, FL
Some features on this profile are disabled
CRD#: 7720900
AP

Professional summary

Andrew Pemberton is a registered financial advisor currently at BRAINTRUST located in Sarasota, Florida and FINALIS SECURITIES LLC located in San Juan Capistrano, California.

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 79TO, Series 82TO, SIE and Series 24 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 Pemberton'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

February 6, 2026 - Present

BRAINTRUST

RIA
CRD#: 339615
SARASOTA, FL
Current

November 14, 2025 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

April 11, 2023 - November 24, 2025

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA

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
Florida
(11/14/2025)
IAR
Florida
(2/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/8/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/31/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/11/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 3/17/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BR
BRAINTRUST
BRAINTRUST | BRAINTRUST INVESTMENT ADVISORS, LLC

CRD#: 339615 / SEC#:

Florida
Registered Investment Advisory firm - (2/6/2026 Approved)
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Contact information

Main Address
Sarasota, FL
Mailing Address
Phone number
(845) 242-5294
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BRAINTRUST

CRD#: 339615Sarasota, FL

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