Adviser and broker representative · Merrill Lynch, Pierce, Fenner & Smith Incorporated
Andrew A. Tappe
CRD 5020988 · Quincy, IL
At a glance
Andrew A. Tappe is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Quincy, IL, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Andrew’s SEC record dates to 2010, about 16 years ago. Andrew is also registered as a broker representative.
Current advisory firm
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSince October 2013Quincy, IL · $1.78T in regulatory assets
SEC adviser record
- Registered since
- 2010 (16 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 3 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Andrew’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.