ANDREW GARRETT, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 29931). Regulatory assets under management: $521.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Andrew Garrett Sycoff | CHIEF EXECUTIVE OFFICER/DIRECTOR; OWNER | — |
| James Robert Jr Mitchell | CHIEF ADMINISTRATIVE OFFICER | — |
| Jannelle Lynn Cannizzaro-Fong | CHIEF FINANCIAL OFFICER/FINOP | — |
| Mark Henry Maurer | CHIEF COMPLIANCE OFFICER | — |
| SULLIVAN TODD DAVID | FINANCIAL & OPERATIONS PRINCIPAL/ CFO | — |
| SCHWARTZ JASON RICHARD | EXEC VP AND C.L.O.; EXEC VP AND C.L.O./DIRECTOR | — |
| SYCOFF ANDREW GARRETT | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/DIRECTOR; OWNER | — |
| MITCHELL JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER; SROP/CROP; VP CUSTOMER SERVICE OPERATIONS | — |
| UPCHURCH JESSE LLOYD | DIRECTOR; SHARE HOLDER | — |
| CANNIZZARO-FONG JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP; FINOP | — |
| AKERMAN ALBERT L MI ONLY | CHIEF COMPLIANCE OFFICER | — |
| MAURER MARK HENRY | CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE; SENIOR COMPLIANCE OFFICER | — |
| SCHAFFER ROBERT NATHAN | CHIEF COMPLIANCE OFFICER | — |
| SCHWARTZ REVAN R | EXEC VP AND C.L.O./DIRECTOR | — |
| HENIN MARIANO A | SVP INVESTMENT MGMT | — |
| AKERMAN ALBERT L | CHIEF COMPLIANCE OFFICER | — |
| DEWEESE GARY MICHAEL | PRESIDENT | — |
| PETERSON DANA EDWARD | VICE PRESIDENT | — |
| PIGG RICHARD TIMOTHY | VICE PRESIDENT OPERATIONS | — |
| LAWRENCE PAUL DOUGLAS | FINANCIAL AND OPERATIONS PRINCIPAL | — |
| JESSE L UPCHURCH | DIRECTOR; DIRECT OWNER | — |
| SCHULDER LAWRENCE MATTHEW | FINANCIAL & OPERATIONS PRINCIPAL | — |
| GUIDETTI SAMUEL ANTHONY III | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-11-10 | regulatory | ANDREW GARRETT HAS FAILED TO COMPLY WITH THE TERMS OF AGENT SUPERVISORY AGREEMENTS. ANDREW GARRETT FAILED TO REASONABLY SUPRVISE AGENTS | Final | $50K |
| 2010-10-05 | regulatory | ON 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 |
| 2010-01-20 | regulatory | ANDREW GARRETT, INC FAILED TO COMPLY WITH THE TERMS OF A HEIGHTED SUPERVISION AGREEMENT | On Appeal | $25K |
| 2008-04-28 | regulatory | ANDREW GARRETT THROUGH ITS REGISTERED RIA TRASACTED BUSINESS IN THE STATE OF MO WITHOUT BEING REGISTERED | Final | $15K |
| 2006-06-14 | regulatory | SEC 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 |
| 2006-02-09 | regulatory | ANDREW 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 |
| 2004-02-19 | regulatory | SEC 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 |
| 2002-02-13 | regulatory | PENALITY OF $5500.00 FOR LATE FILED AUDITTED STATEMENT FOR YOEAR 2001 WAS NOT PAID | Final | $3K |
| 1998-10-09 | regulatory | MDBI EFFECTED 2 SECURITIES TRANSACTIONS IN THE STATE OF MASSACHUSETTS WITHOUT PROPER REGISTRATION. | Final | $1K |
| 1998-07-07 | regulatory | MDBI, 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 |