Matt Andre

Matt Andre Email and Phone Number

Compliance and Registration
Matt Andre's Location
San Diego, California, United States, United States
Matt Andre's Contact Details

Matt Andre personal email

About Matt Andre

FINRA Registered Representative Series 7FINRA Securities Principal Series 24FINRA State Blue Sky Laws Series 63(FINRA 24 License expired 2015) Life Insurance and Disability Producer (current)Life License State of Rhode Island (expired)Real Estate Licence Rhode Island (expired)

Matt Andre's Current Company Details

Compliance and Registration
Matt Andre Work Experience Details
  • Lpl Financial
    Compliance Consultant
    Lpl Financial Nov 2018 - Mar 2020
    San Diego
    View
  • New York Life Insurance Company
    V.P. Wealth Management
    New York Life Insurance Company Jan 2007 - Jan 2010
    Providence, Rhode Island Area
    Life Insurance and Annuity Sales. Stock and Bond Sales.
    View
  • Bank Of America Merrill Lynch
    Principal Trade Review
    Bank Of America Merrill Lynch Feb 2005 - Jan 2007
    Lincoln, Rhode Island
    Conducted daily trading surveillance Principal review of new applications for online brokerage accounts.Made daily call outs to brokerage clients to inform on day trading rules and regulations.
    View
  • Royal Alliance Associates
    Senior Compliance Examiner
    Royal Alliance Associates Nov 2001 - Nov 2003
    New York, Ny
    Ensured compliance of 3500 NASD (FINRA) Registered Representatives nationwide. Conducted annual compliance consultations and audits. Prepared the OSJ offices and their representatives for state audits and updated them on new compliance regulations. Conducted required Annual Compliance Meetings.
    View
  • Icap
    Vice President-Floor Broker
    Icap Jan 1996 - Nov 2001
    1 World Trade Center
    Open outcry agency floor broker for institutional trading. Brokered derivative yield curve swaps and yield curve trade executions. Provided liquidity and anonymity for qualified institutional buyers and sellers.
    View

Matt Andre Skills

Investments Wealth Management Strategic Financial Planning Series 7 Real Estate Trading Insurance Bonds Asset Management Brokerage Luxury Financial Analysis Series 63 Portfolio Management Securities Private Equity Finra Equities Mutual Funds

Matt Andre Education Details

Frequently Asked Questions about Matt Andre

What is Matt Andre's role at the current company?

Matt Andre's current role is Compliance and Registration.

What is Matt Andre's email address?

Matt Andre's email address is ma****@****cox.net

What schools did Matt Andre attend?

Matt Andre attended State University Of New York Empire State College, Mesa Community College, Judson College Prep.

What skills is Matt Andre known for?

Matt Andre has skills like Investments, Wealth Management, Strategic Financial Planning, Series 7, Real Estate, Trading, Insurance, Bonds, Asset Management, Brokerage, Luxury, Financial Analysis.

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