Andrew C. Wahrenbrock

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CRD#: 870404

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 Corell Wahrenbrock was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1979. Andrew had worked at 5 firms and has passed the Series 63, SIE, Series 5 and Series 7 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

March 27, 2014 - December 31, 2020

SYNDICATED CAPITAL, INC.

RIA

CRD#: 29037

BAKERSFIELD, CA

Past

June 27, 2006 - November 24, 2008

WHEELER & MOTE, LLC

RIA

CRD#: 115312

BAKERSFIELD, CA

Past

July 8, 1998 - December 31, 2020

SYNDICATED CAPITAL, INC.

CRD#: 29037

BAKERSFIELD, CA

Past

December 12, 1996 - July 8, 1998

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

February 24, 1989 - January 10, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 24, 1979 - March 9, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

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".

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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: 9/11/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Current Firm

SYNDICATED CAPITAL, INC.

CRD#: 29037 / SEC#: 801-129421, 8-44162

RIA

Registered Investment Advisory firm - SEC (2/5/2024 Approved)

California

Registered Investment Advisory firm - SEC (6/18/2009 Approved)

Hawaii

Registered Investment Advisory firm - SEC (6/8/2010 Approved)

Maryland

Registered Investment Advisory firm - SEC (10/14/2020 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/7/2009 Approved)

Ohio

Registered Investment Advisory firm - SEC (10/16/2012 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/22/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (3/24/2011 Approved)

Virginia

Registered Investment Advisory firm - SEC (7/16/2009 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765

Mailing Address

P. O. Box 274, Brea, CA 92822

Phone number

(310) 751-7098

Established

California since 02/24/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV II (3/29/2025)

Direct owners and executive officers

Name	Position	CRD#
SC ADD HOLDINGS, LLC	OWNER
BAINES AND MCADAMS LIVING TRUST	OWNER
BAINES, HEATHER UNA	TRUSTEE OF BAINES & MCADAMS LIVING TRUST	2173889
LEE, FAITH	PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC	2715226
MCADAMS, JOSEPH LLOYD JR	SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST	2173886
THORNTON, STEVEN LEE	FINANCIAL AND OPERATIONS PRINCIPAL	4496384

Regulatory assets under management

Total Number of Accounts	393
AUM (Assets Under Management)	$ 122,987,781

Disclosures

Regulatory Event	4
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.

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Andrew C. Wahrenbrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WHEELER & MOTE, LLC

SYNDICATED CAPITAL, INC.

GREAT PACIFIC SECURITIES

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SYNDICATED CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1979

SIE

Date: 10/1/2018

Series 5

Date: 12/11/1982

Series 7

Date: 8/18/1979

Current Firm

SYNDICATED CAPITAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYNDICATED CAPITAL, INC.

TRUST BUT VERIFY

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