Andrew L. Hirsh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Lynn Hirsh, who also goes by Andy Hirsh, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1985. Andrew had worked at 6 firms and has passed the Series 63, Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2001 - August 17, 2001
NBC CAPITAL MARKETS GROUP, INC.
October 1, 1997 - May 18, 2001
OSAIC FS, INC.
May 8, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 8, 1990 - April 25, 1995
RAYMOND JAMES & ASSOCIATES, INC.
June 14, 1988 - November 7, 1990
MORGAN STANLEY DW INC.
July 18, 1985 - January 30, 1988
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/27/1978
Registered Representative ExaminationCurrent Firm
NBC CAPITAL MARKETS GROUP, INC.
CRD#: 18229 / SEC#: , 8-36307
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF COMMERCE | 100% STOCKHOLDER | |
| ANDERSON, APRIL SHAWN | CHIEF COMPLIANCE OFFICER | 4749858 |
| BENNETT, THOMAS BRIAN | CO- DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2785252 |
| DAVIS, SCOTT MITCHELL | SENIOR VICE PRESIDENT AND DIRECTOR OF FIXED INCOME RESEARCH, GENERAL SECURITIES PRINCIPAL | 2934988 |
| EDRINGTON, JAMES WRIGHT | GENERAL SECURITIES PRINCIPAL | 2109073 |
| GILMORE, JOSEPH WADE SR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 831732 |
| GRUBER, SCOTT JAY | DIRECTOR, LIMITED SALES PRINCIPAL, SALES MANAGER | 1146139 |
| MANSBERG, ROY DANIEL | RETAIL GENERAL SECURITIES PRINCIPAL | 1540758 |
| MARTIN, BRADLEY MILES | DIRECTOR, FIN OP, SENIOR VICE PRESIDENT | 3146796 |
| PITTS, JOHN THOMAS JR | DIRECTOR, FIRST VICE PRESIDENT | 2342184 |
| SASLAWSKY, ANDREW MICHAEL | DIRECTOR, FIRST VICE PRESIDENT | 1582545 |
| SCHEIDT, RUDI EGON JR | PRESIDENT, DIRECTOR | 2109131 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
