Invested Better
Invested Better

Andrew Michael Brookman

Verified

Verified

Alpha Strategic Advisors

Specializations
Financial Planning Services
Pension Consulting Services
Educational Seminars & Workshops
Portfolio Management for Businesses
Portfolio Management for Individuals
Portfolio Management for Investment Companies
Market Timing Services
Portfolio Management for Pooled Investment Vehicles
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About Andrew Michael Brookman

A Veteran in the Financial Industry since 1998, with experience working for Greenwich Prime Trading Group a prominent Buy-Side Hedge Fund Trading Desk on Wall Street. This offered Andrew the opportunity to learn how to trade in many different markets, securities, and utilize sophisticated investment strategies. Andrew had the honor to work for and learn how to invest in the markets from some of the most well-known Hedge Fund managers known today. In 2008, he left Greenwich Prime Trading Group to become a Partner and Head Trader at Brill Securities, a broker-dealer in New York City. He built a wealth management business and clientele at Brill Securities and was able to enhance their trading business with new trading technologies and investment products. In 2013, he left Brill Securities to work for Oppenheimer & Co. Inc. as a Wealth Manager where he continued to grow and focus on his wealth management business for many years. Andrew Founded Alpha Strategic Advisors guided by the premise of focusing on his clients' needs and goal by using sophisticated investment strategies and adapting to the current market environment. He utilizes portfolio enhancement tools for his ultra-high net worth clients and complex derivative strategies to enhance his clients’ portfolios. Andrew proactively monitors the markets and is fully versed in a wide range of investment products including, but not limited to, equities, taxable and tax-free bonds, structured products, alternative investments, options/derivatives, Opportunity Zone Prep structures and REITS. He aligns each clients' unique goals, values, and needs with holistic planning and custom investment strategies. Andrew uses an in-depth discovery process that leads to a true understanding of each client’s specific situation, time horizon, and risk tolerance, focusing on growth and preserving the assets of high-net-worth clients (individuals, families, corporate executives, and businesses). He leverages the resources and his partners to help clients pursue goals and address complex financial issues. Andrew has his Series 7, 57TO, 63 and 65, 79TO, 99TO, and SIE registrations with his partnership firm Aegis Capital.

Firm Information

Andrew Brookman is currently registered with Alpha Strategic Advisors . Aegis Capital Corp. is a corporation formed in 1984 and headquartered in New York, NY. The firm provides financial planning, portfolio management for individuals, businesses, and pooled investment vehicles. Aegis Capital Corp. is registered with the SEC and in 53 states. The firm has over 257 registered representatives and manages approximately $1.28 billion in assets.
Alpha Strategic Advisors

1345 AVENUE OF THE AMERICAS

NEW YORK, NY 10105

$1.28B

Assets Under Management

Not reported

Total Clients

156

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Andrew Brookman’s Registration & Firm History

CT

01/01/2012 - Present

Alpha Strategic Advisors (Greenwich CT)

CT

05/23/2019 - 04/18/2022

LPL FINANCIAL LLC (STAMFORD CT)

CT

05/03/2013 - 05/31/2019

OPPENHEIMER & CO. INC. (STAMFORD CT)

NY

01/26/2004 - 05/03/2013

BRILL SECURITIES, INC. (NEW YORK NY)

NJ

04/30/2003 - 12/03/2003

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. (FLORHAM PARK NJ)

NY

04/22/2002 - 09/09/2002

MOMENTUM SECURITIES, L.L.C. (NEW YORK NY)

NY

06/01/2001 - 03/13/2002

EMBARCADERO SECURITIES, LLC (NEW YORK NY)

NY

07/08/1999 - 06/19/2001

ABN AMRO SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/24/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/20/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/29/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/25/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are 4 public disclosures for Andrew Michael Brookman. Review regulatory record here.
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