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Charles Arthur Andruss

SG Americas Securities, LLC

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About Charles Arthur Andruss

Charles Arthur Andruss is a financial advisor currently registered with SG Americas Securities, LLC. Charles has been in the financial services industry since 2002 and has a wide range of experience in the field. Charles has passed the Series 66, Series 63, Series 7 and SIE exams and is registered in 52 states. Charles has previously worked for BNP Paribas Securities Corp., UBS Securities LLC, UBS Financial Services Inc. and Gabelli & Company, Inc.

Firm Information

Charles Andruss is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Charles Andruss’s Registration & Firm History

NY

07/15/2024 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

01/09/2015 - 04/26/2024

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

12/05/2005 - 12/09/2014

UBS SECURITIES LLC (NEW YORK NY)

NJ

11/05/2003 - 09/22/2005

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

05/21/2002 - 11/10/2004

GABELLI & COMPANY, INC. (RYE NY)

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Licenses & Designations

BOTH

Issued 12/09/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/29/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe 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 GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Charles Arthur Andruss.
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