Andrew E. Reegen

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CRD#: 866507

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 Edward Reegen was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1979. Andrew had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 7, 2009 - February 4, 2014

SEARLE & CO.

CRD#: 13035

GREENWICH, CT

Past

July 27, 2006 - February 26, 2008

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

October 31, 2003 - September 16, 2004

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

November 28, 2000 - August 28, 2002

CATALYST TRADING LLC

CRD#: 101720

NEW YORK, NY

Past

October 22, 1998 - October 31, 2000

GLOBALNETSECURITIES CORP.

CRD#: 42912

NEW YORK, NY

Past

May 17, 1996 - November 26, 1996

J. P. GIBBONS & CO., INC.

CRD#: 38850

NEW YORK, NY

Past

June 23, 1994 - August 22, 1995

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

Past

October 14, 1993 - March 31, 1994

MAIDSTONE FINANCIAL, INC.

CRD#: 31804

NEW YORK, NY

Past

February 11, 1992 - May 4, 1992

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

Past

August 10, 1989 - June 17, 1991

DOUGLAS STEWART INCORPORATED

CRD#: 228

Past

December 11, 1987 - April 21, 1988

BLACKFORD SECURITIES CORP.

CRD#: 20954

Past

January 11, 1984 - July 18, 1988

MONVEST SECURITIES, INC.

CRD#: 14013

Past

June 30, 1983 - May 29, 1985

MIKAL & COMPANY, INC.

CRD#: 13463

Past

June 2, 1981 - August 26, 1982

ELMS SECURITIES CORP.

CRD#: 8312

Past

May 24, 1979 - July 27, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 2/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1980

General Securities Principal Examination

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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 E. Reegen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAIWA CAPITAL MARKETS AMERICA INC.

FULCRUM GLOBAL PARTNERS LLC

CATALYST TRADING LLC

GLOBALNETSECURITIES CORP.

J. P. GIBBONS & CO., INC.

STERLING FOSTER & COMPANY, INC.

MAIDSTONE FINANCIAL, INC.

STRATTON OAKMONT INC.

DOUGLAS STEWART INCORPORATED

BLACKFORD SECURITIES CORP.

MONVEST SECURITIES, INC.

MIKAL & COMPANY, INC.

ELMS SECURITIES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/15/1985

Series 7

Date: 5/19/1979

Series 24

Date: 12/1/1980

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

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