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JS

Joseph P. Scanlon

ANDES CAPITAL GROUP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 819787
JS

Professional summary

Joseph Patrick Scanlon, who also goes by Joe Scanlon, Joseph P Scanlon, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1976. Joseph has worked at 13 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Scanlon | Joseph P Scanlon

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) - BD

Click below to view Joseph Patrick Scanlon's CRS (Customer Relationship Summary).
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

December 10, 2023 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606
BD
CRD#: 139212
Chicago, IL
Past

October 29, 2020 - November 22, 2021

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

February 11, 2020 - October 30, 2020

TEMPLUM MARKETS LLC

BD
CRD#: 102840
New York, NY
Past

October 25, 2018 - February 5, 2020

MCP SECURITIES, LLC

BD
CRD#: 152669
New York, NY
Past

March 3, 2017 - December 22, 2017

EATON PARTNERS, LLC

BD
CRD#: 31170
ROWAYTON, CT
Past

March 10, 2011 - September 5, 2013

EATON PARTNERS, LLC

BD
CRD#: 31170
ROWAYTON, CT
Past

July 20, 2005 - February 18, 2011

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

June 3, 1991 - June 22, 2005

ARK SECURITIES CO., INC.

BD
CRD#: 28314
NEW YORK, NY
Past

October 18, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

October 10, 1983 - September 23, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 6, 1983 - August 7, 1984

FIRST RESERVE SECURITIES CORPORATION

BD
CRD#: 10154
Past

January 20, 1978 - February 23, 1978

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 20, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

March 19, 1976 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(12/11/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1976
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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.

Company Information

ANDES CAPITAL GROUP, LLC

CRD#: 139212Chicago, IL 60606

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