AG
Andrew G. Gaines
ENGLEBERT FINANCIAL ADVISERS
ALLENTOWN, PA 18106
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CRD#: 7980503
AG
Professional summary
Andrew Gordon Gaines is a registered financial advisor currently at ENGLEBERT FINANCIAL ADVISERS, LLC located in Allentown, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Andrew has worked at 1 firm and has passed the Series 65 exam.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Gordon Gaines'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
September 9, 2024 - Present
ENGLEBERT FINANCIAL ADVISERS, LLC
Office #1: 1275 Glenlivet Drive Suite 335, Allentown, PA 18106RIA
CRD#: 300568
ALLENTOWN, PA
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".
EF
ENGLEBERT FINANCIAL ADVISERS, LLC
ENGLEBERT FINANCIAL ADVISERS, LLC | ENGLEBERT FINANCIAL ADVISORS, LLC
CRD#: 300568 / SEC#: 801-130503
RIA
Registered Investment Advisory firm - (6/18/2024 Approved)California
Registered Investment Advisory firm - (8/22/2024 Terminated)Florida
Registered Investment Advisory firm - (7/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (7/29/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/23/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/25/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Pennsylvania(9/9/2024)
IAR
Texas(9/9/2024)
Current Firm
EF
ENGLEBERT FINANCIAL ADVISERS, LLC
ENGLEBERT FINANCIAL ADVISERS, LLC | ENGLEBERT FINANCIAL ADVISORS, LLC
CRD#: 300568 / SEC#: 801-130503
RIA
Registered Investment Advisory firm - (6/18/2024 Approved)California
Registered Investment Advisory firm - (8/22/2024 Terminated)Florida
Registered Investment Advisory firm - (7/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (7/29/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/23/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/25/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1275 Glenlivet Drive Suite 335, Allentown, PA 18106
Mailing Address
Phone number
(484) 350-3301
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 606 |
| AUM (Assets Under Management) | $ 148,912,134 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ENGLEBERT FINANCIAL ADVISERS, LLC
CRD#: 300568Allentown, PA 18106TRUST BUT VERIFY
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