Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Warren Tolman is a financial advisor with over 3 years of experience in the financial services industry. Andrew is currently registered with Houlihan Lokey Capital, Inc., a firm that is active in both the broker-dealer and investment advisor space. Previously, Andrew worked for MUFG Securities Americas Inc. and BTMU Securities, Inc. Andrew holds the Series 7, 79, 63 and SIE licenses, and is registered in New York. Andrew’s areas of expertise include investment banking and general securities.
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.
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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2
NY
11/05/2019 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
NY
03/14/2016 - 07/25/2016
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
NY
11/12/2015 - 03/14/2016
BTMU SECURITIES, INC. (NEW YORK NY)
BC
Issued 11/14/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/05/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/25/2016
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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