Andrew Szabo’s Registration Denied in Maryland

Andrew Szabo (CRD #: 1303597), a broker registered with Exemplar Capital, recently had his registration denied in Maryland, according to his BrokerCheck record, accessed on April 17,  2023. Read on if you have questions about his alleged conduct as a broker.

Maryland Regulatory Action

On March 30, 2023, the Maryland Securities Division denied Andrew Szabo’s registration in the state. The Division allegedly requested information from Andrew Szabo’s firm with regard to information disclosed on his Uniform Application for Securities Industry Registration or Transfer (Form U4) on December 20, 2022, and January 17, 2023, and allegedly received no response.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Tax Liens

In 2017, Andrew Szabo was the subject of $33,735.44 in tax liens. He was also subject to a $227,909.71 tax lien in 2022. 

Background Information

Andrew Szabo has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 99TO – Operations Professional Examination
• SIE – Securities Industry Essentials Examination
• Series 79 – Investment Banking Registered Representative Examination
• Series 7 – General Securities Representative Examination
• Series 3 – National Commodity Futures Examination
• Series 24 – General Securities Principal Examination

Andrew Szabo is a registered broker in 13 states and the District of Columbia.

He has also worked for the following firms:

• FinTron Invest (CRD#:305818)
• VENTURE.co Brokerage Services (CRD#:173924)
• Choice Advisory Group (CRD#:135226)
• Choice Investments (CRD#:17665)
• Greenwich Financial Management (CRD#:125423)
• Centaurus Financial (CRD#:30833)
• DC Evans and Company (CRD#:132650)
• Purshe Kaplan Sterling Investments (CRD#:35747)
• BCP Securities(CRD#:27063)
• UBS PaineWebber (CRD#:8174)
• Warburg Dillon Read (CRD#:7654)
• SBC Warburg Dillon Read (CRD#:1650)
• Kidder, Peabody & Company (CRD#:7613)
• Lehman Brothers (CRD#:7506)

Kurta Law Can Help

If you worked with Andrew Szabo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.