Andre Lister has been CCO of Advisor Compliance Partners since August 2025, is a control person of the firm and directly owns under 5% of it.
Advisor Compliance Partners LLC is a Kailua-Kona, HI firm with $132M under management, 173 clients and 3 advisers across 3 offices, as of its April 2026 filing.
Andre Lister’s longest registration was 14 years at Financial Advocates Investment Management (2011–2025). Before joining Advisor Compliance Partners in 2025, Andre Lister was registered through Signaline Investments and Financial Advocates Investment Management.
- Acp Investment ManagementCurrent– present · 1 yearLihue, HI · Adviser representative · Firm CRD 338484
- Signaline Investments– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 282622
- Financial Advocates Investment Management– · 14 yearsLihue, HI · Adviser representative · Firm CRD 151298
- LPL Financial LLC– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 6413
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsSeattle, WA · Adviser representative · Firm CRD 7691
- KMS Financial Services, Inc– · 1 yearSeattle, WA · Adviser representative · Firm CRD 3866
- Aura Asset Management, Inc.– · under a yearBellevue, WA · Adviser representative · Firm CRD 129402
- Aura Financial Services, Inc.– · 1 yearBirmingham, AL · Adviser representative · Firm CRD 42822
Investment adviser representative registrations
Andre Lister is registered as an investment adviser representative in Hawaii, since September 2025.
- HawaiiSince 30 September 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 October 2002 |
| Series 7 | General Securities Representative Examination | 8 October 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andre Nicholas Lister
- CRD
- 4405762
- Firm
- Advisor Compliance Partners · CRD 338484
- Role
- CCO
- Office
- 1696 Haleukana Street, Lihue, HI 96766
- Registration
- Investment adviser registration
- In the industry since
- October 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does Andre Lister work?
Andre Lister has been CCO of Advisor Compliance Partners LLC since August 2025, and is a control person of the firm.
Is Andre Lister a financial advisor?
Yes. Andre Lister has a current investment-adviser registration in Hawaii, through Advisor Compliance Partners since September 2025.
How many years of experience does Andre Lister have?
Andre Lister has 24 years in the financial industry, since October 2002, across 8 adviser firms.
What exams has Andre Lister passed?
Andre Lister has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2002. FINRA credited Andre Lister with the SIE, which began in October 2018.
Where did Andre Lister work before Advisor Compliance Partners?
Before Advisor Compliance Partners, Andre Lister was registered through Signaline Investments, April 2016 to October 2018; LPL Financial LLC, October 2009 to December 2011; Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 2006 to October 2009; KMS Financial Services, Inc, September 2004 to May 2006; Aura Asset Management, Inc., March 2004 to September 2004; Aura Financial Services, Inc., September 2003 to September 2004.
Where is Andre Lister based?
Andre Lister’s registered office is in Lihue, HI.
Is Andre Lister registered with FINRA?
No. Andre Lister has no current broker registration.
How can I verify Andre Lister’s record?
Search CRD 4405762 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andre Lister’s full registration record.