ANDREW GARRETT, INC.

ANDREW GARRETT, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 29931). Regulatory assets under management: $521.3M.

Registration

Business model

Compensation: % of AUM, Hourly, Fixed.

Clients served: Individuals, High net worth, Charities.

Officers, owners & control persons (23)

NameRoleLocation
Andrew Garrett SycoffCHIEF EXECUTIVE OFFICER/DIRECTOR; OWNER
James Robert Jr MitchellCHIEF ADMINISTRATIVE OFFICER
Jannelle Lynn Cannizzaro-FongCHIEF FINANCIAL OFFICER/FINOP
Mark Henry MaurerCHIEF COMPLIANCE OFFICER
SULLIVAN TODD DAVIDFINANCIAL & OPERATIONS PRINCIPAL/ CFO
SCHWARTZ JASON RICHARDEXEC VP AND C.L.O.; EXEC VP AND C.L.O./DIRECTOR
SYCOFF ANDREW GARRETTCHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/DIRECTOR; OWNER
MITCHELL JAMES ROBERT JRCHIEF ADMINISTRATIVE OFFICER; SROP/CROP; VP CUSTOMER SERVICE OPERATIONS
UPCHURCH JESSE LLOYDDIRECTOR; SHARE HOLDER
CANNIZZARO-FONG JANNELLE LYNNCHIEF FINANCIAL OFFICER/FINOP; FINOP
AKERMAN ALBERT L MI ONLYCHIEF COMPLIANCE OFFICER
MAURER MARK HENRYCHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE; SENIOR COMPLIANCE OFFICER
SCHAFFER ROBERT NATHANCHIEF COMPLIANCE OFFICER
SCHWARTZ REVAN REXEC VP AND C.L.O./DIRECTOR
HENIN MARIANO ASVP INVESTMENT MGMT
AKERMAN ALBERT LCHIEF COMPLIANCE OFFICER
DEWEESE GARY MICHAELPRESIDENT
PETERSON DANA EDWARDVICE PRESIDENT
PIGG RICHARD TIMOTHYVICE PRESIDENT OPERATIONS
LAWRENCE PAUL DOUGLASFINANCIAL AND OPERATIONS PRINCIPAL
JESSE L UPCHURCHDIRECTOR; DIRECT OWNER
SCHULDER LAWRENCE MATTHEWFINANCIAL & OPERATIONS PRINCIPAL
GUIDETTI SAMUEL ANTHONY IIICHIEF COMPLIANCE OFFICER

Disclosures (128)

Showing 10 of 14 distinct disclosure events.

InitiatedTypeAllegationsStatusAmount
2011-11-10regulatoryANDREW GARRETT HAS FAILED TO COMPLY WITH THE TERMS OF AGENT SUPERVISORY AGREEMENTS. ANDREW GARRETT FAILED TO REASONABLY SUPRVISE AGENTSFinal$50K
2010-10-05regulatoryON 10/5/2010 THE CT BANKING COMMISSIONER ENTERED A CONSENT ORDER WITH RESPECT TO ANDREW GARRETT, INC. THE CONSENT ORDER ALLEGED THAT FROM AT LEAST 09/2008 THROUGH 07/2009, THE FIRM FAILED TO ESTABLISH AND MAITAINAN ADEQUATE SUPERVISORY SYSTEM AND THAT AS A RESULT THE FIRM ALLOW ITS SECURITIES REPS T…Final$20K
2010-01-20regulatoryANDREW GARRETT, INC FAILED TO COMPLY WITH THE TERMS OF A HEIGHTED SUPERVISION AGREEMENTOn Appeal$25K
2008-04-28regulatoryANDREW GARRETT THROUGH ITS REGISTERED RIA TRASACTED BUSINESS IN THE STATE OF MO WITHOUT BEING REGISTEREDFinal$15K
2006-06-14regulatorySEC RULES 15C3-1 AND 17A-3 AND NASD RULES 2110 AND 3110: RESPONDENT MEMBER FIRM, ACTING THRU AN INDIVIDUAL, CONDUCTED A SECURITIES BUSINESS WHEN ITS NET CAPITAL FELL BELOW THE MINIMUM AMOUNT REQUIRED UNDER SEC RULE 15C3-1; AND IT PREPARED INACCURATE NET CAPITAL COMPUTATION.Final$18K
2006-02-09regulatoryANDREW GARRETT, INC EMPLOYED AN UNREGISTERED AGWENT , FAILED TO PROMPTLY NOTIFY THE MO COMM . WHEN THE AGENT BEGAN AND TERMINATED HIS CONNECTION WITH AGI AND FAILED TO REASONABLY SUPERVISE THE AGENT BY ESTABLISHING PROCEDURES AND A SYSTEM FROM APPLYING SUCH PROCEDURS THAT WOULD REASABLY BE EXPECTED…Final$10K
2004-02-19regulatorySEC RULES 15C3-1, 17A-3(11), 17A-5, NASD RULES 2110,3110(A)- RESPONDENT MEMBER, ACTING THROUGH AN INDIVIDUAL, USED THE MEANS OR OTHER MEANS OR INSTRUMENTALITIES OF INTERSTATE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES WHEN IT FAILED TO MAINTAIN THE MINIMUM REQUIRED NET CAPITAL; ACTING THROUGH AN…Final$8K
2002-02-13regulatoryPENALITY OF $5500.00 FOR LATE FILED AUDITTED STATEMENT FOR YOEAR 2001 WAS NOT PAIDFinal$3K
1998-10-09regulatoryMDBI EFFECTED 2 SECURITIES TRANSACTIONS IN THE STATE OF MASSACHUSETTS WITHOUT PROPER REGISTRATION.Final$1K
1998-07-07regulatoryMDBI, INC. APPLIED FOR ALABAMA REGISTRATION ON 2/5/98, AND IN ERROR STATED THAT WE HAD NO PRIOR BUSINESS IN THAT STATE. SEVERAL TRADES WERE TRANSACTED BY 3 REPS, JOSHUA DUGHI, DAVID BARON, AND LAWRENCE CLASBY. A CEASE AND DESIST ORDER WAS ISSUED ON 7/7/98 FOR EFFECTING SECURITIES TRANSACTIONS WITH A…Final$5K

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