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Detailed Report
ANDREW ROBERT HATHERLEY
CRD#: 2481858
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Investment Adviser
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Previous Broker
THE RETIREMENT SOLUTIONS GROUPCRD#: 299396 LAS VEGAS, NV
Registration History
19952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2008 (5 years)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2016 (7 years)IATHE RETIREMENT SOLUTIONS GROUP (CRD# 299396)2019 - Present (6 years)BAMERICAN INVESTMENT SERVICES, INC. (CRD# 21111)1999 - 2000 (<1 year)BVALORES FINAMEX INTERNATIONAL,... (CRD# 26303)1994 - 1995 (1 year)IATHE RETIREMENT SOLUTIONS GROUP (CRD# 132825)2016 - 2019 (2 years)
License(s)

State Registrations

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Nevada 2/27/2019
Current Registration(s)
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THE RETIREMENT SOLUTIONS GROUP (CRD#:299396)
LAS VEGAS, NV
Registered with this firm since 2/27/2019
Previous Registration(s)
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 08/23/2016 - 04/17/2019 THE RETIREMENT SOLUTIONS GROUP (CRD#:132825) LAS VEGAS, NV
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 12/15/2008 - 08/17/2016 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) LAS VEGAS, NV
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 12/15/2008 - 08/17/2016 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) LAS VEGAS, NV
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 12/05/2008 - 12/15/2008 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) LAS VEGAS, NV
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 12/05/2008 - 12/15/2008 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) LAS VEGAS, NV
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 07/01/2003 - 12/09/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) LAS VEGAS, NV
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 07/01/2003 - 12/09/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) LAS VEGAS, NV
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 10/24/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) LAS VEGAS, NV
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 05/10/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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 11/03/1999 - 10/19/2000 AMERICAN INVESTMENT SERVICES, INC. (CRD#:21111)
FINRA expelled the firm on 02/13/2003
OKLAHOMA CITY, OK
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 06/08/1994 - 09/27/1995 VALORES FINAMEX INTERNATIONAL, INC. (CRD#:26303) MAGNOLIA, TX
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.