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Andrew John Schwenk

Castleoak Securities, LP

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About Andrew John Schwenk

Andrew Schwenk is an experienced financial professional with over 30 years of experience in the industry. Andrew has a comprehensive understanding of the financial markets and investment strategies, having worked with leading firms such as J.P. Morgan Securities and Lehman Brothers. Currently, Andrew is associated with Castleoak Securities, LP, where he provides investment advice and guidance to clients. Andrew holds multiple securities licenses and certifications, including the Series 7, 10, 24, 63, and 72. He is also registered with multiple states including Arizona, California, Colorado, New Jersey, New York, and Pennsylvania.

Firm Information

Andrew Schwenk is currently registered with Castleoak Securities, LP. Castleoak Securities, LP is a Partnership formed in July 2004. It is registered with the SEC and is approved in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Schwenk’s Registration & Firm History

NY

11/15/2022 - Present

Castleoak Securities, LP (NEW YORK NY)

NY

10/01/2008 - 05/10/2021

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

03/26/1994 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

01/22/2001 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

05/11/1989 - 04/26/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

05/11/1989 - 04/26/1993

LEHMAN GOVERNMENT SECURITIES INC.

NA

05/11/1989 - 04/26/1993

LEHMAN SPECIAL SECURITIES INC.

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Licenses & Designations

BC

Issued 05/11/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/23/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/25/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew John Schwenk.
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