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Andrew Stein

TD Securities (usa) LLC

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About Andrew Stein

Andrew Stein is a securities professional with over 29 years of experience in the financial services industry. Andrew is currently registered with TD Securities (usa) LLC and Cowen and Co.. Andrew has held previous positions with Credit Suisse Securities (USA) LLC and Lehman Brothers Inc.. Andrew has a broad range of experience in the securities industry, including experience with Series 7, Series 24, Series 55, Series 57TO and SIE exams. Andrew is registered in Connecticut, Georgia, New Jersey and New York.

Firm Information

Andrew Stein is currently registered with TD Securities (usa) LLC. TD Securities (USA) LLC is a Limited Liability Company formed in November 2004. The firm is registered in all 50 states, as well as the District of Columbia and Puerto Rico. It is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

174

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 Stein’s Registration & Firm History

NY

04/04/2024 - Present

TD Securities (usa) LLC (New York NY)

NY

02/12/1999 - 04/27/2006

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

01/21/1994 - 02/17/1999

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/27/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/04/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/20/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew Stein.
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