Andre Nicholas Lister

Current Employers

Employment History

• 10/2009 → 12/2018
  Lpl Financial Llc
  Seattle, WA
• 05/2011 → Present
  Financial Advocates Investment Management
  Seattle, WA
• 10/2015 → 10/2018
  Signaline Investments
  Seattle, WA
• 09/2025 → Present
  Advisor Compliance Partners Llc
  Seattle, WA

Previous Registrations

• 2011-05-10 → 2025-10-31
  Financial Advocates Investment Management
  Seattle, WA
  Olympia, WA
  Lihue, HI
• 2016-04-28 → 2018-10-15
  Signaline Investments
  Seattle, WA
• 2009-10-02 → 2011-12-21
  Lpl Financial Llc
  Seattle, WA
  San Diego, CA
  Seattle, WA
  Lihue, HI
• 2006-05-26 → 2009-10-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Seattle, WA
• 2004-09-17 → 2006-05-26
  Kms Financial Services, Inc.
  Seattle, WA
• 2003-09-09 → 2004-09-17
  Aura Financial Services, Inc.
  Birmingham, AL
• 2004-03-12 → 2004-09-17
  Aura Asset Management, Inc.
  Bellevue, WA

Other Businesses

1. 4/12/2013: A-LIST, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - For accounting purposes only. 2. 6/30/2014: Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/11/2011 - 60 Hours Per Month/40 Hours During Securities Trading - Registered as an IAR of the Hybrid RIA of Financial Advocates Investment Management to be able to charge an advisory, flat, or hourly fee. 3. 01/02/2019: Tallus Capital Advisors. investment-related- At reported business locations(s). DBA for financial planning services. Non-variable insurance. 120 hours/month, 100 during trading hours. 4. 08/18/2025: EAL Holdings LLC - Investment Related - 1309 Coffeen Ave, Ste 1200, Sheridan, WY 82801 - Holding Company - Member/Manager - 1 hr/mo - 0 hr/mo during trading hours - Accounting duties.

Exams

• S66 Uniform Combined State Law Examination
  2002-10-21

Other Names

• Andre Lister