Andrew Frank has been an investment adviser representative at Shelter Rock Management since January 2014, and is not listed among the firm’s executive officers or direct owners. Andrew Frank holds a BA in Political Economy from Tulane University.
Shelter Rock Management, LLC is a Jericho, NY firm with $232M under management, 142 clients and 4 advisers in one office, as of its March 2026 filing.
Andrew Frank is Executive Vice President of Shelter Rock Management, responsible for managing client relationships, business development and corporate operations. He has three decades of investment-related industry experience in institutional sales and trading, portfolio and wealth management. Before Shelter Rock he was an institutional sales and trading Managing Director and Vice President at firms including Penserra Securities, HSBC Securities, the New York Stock Exchange, Jefferies & Company and Instinet Corporation.
- Shelter Rock Management, LLCCurrent– present · 12 yearsJericho, NY · Adviser representative · Firm CRD 142739
Investment adviser representative registrations
Andrew Frank is registered as an investment adviser representative in New York, since July 2021.
- New YorkSince 22 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 18 December 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 August 2010 |
| Series 3 | National Commodity Futures Examination | 20 June 2006 |
| Series 55 | Limited Representative-Equity Trader Exam | 2 March 2000 |
| Series 7 | General Securities Representative Examination | 17 December 1991 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- National Commodity Futures Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
- Full name
- Andrew Kerr Frank
- CRD
- 2199115
- Firm
- Shelter Rock Management · CRD 142739
- Office
- 375 NORTH BROADWAY, SUITE 207, Jericho, NY 11753
- Registration
- Investment adviser registration
- In the industry since
- January 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- shelterrockmanagement.com
Where does Andrew Frank work?
Andrew Frank is an investment adviser representative registered through Shelter Rock Management, LLC since January 2014, and is not listed among the firm’s executive officers or direct owners.
Is Andrew Frank a financial advisor?
Yes. Andrew Frank has a current investment-adviser registration in New York, through Shelter Rock Management since January 2014.
How many years of experience does Andrew Frank have?
Andrew Frank has 12 years in the financial industry, since January 2014, across 1 adviser firm.
What exams has Andrew Frank passed?
Andrew Frank has passed 5 licensing exams: the Series 7, Series 55, Series 3, Series 63 and Series 66. The earliest, the Series 7, was passed in December 1991.
Where is Andrew Frank based?
Andrew Frank’s registered office is in Jericho, NY.
Is Andrew Frank registered with FINRA?
No. Andrew Frank has no current broker registration.
How can I verify Andrew Frank’s record?
Search CRD 2199115 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Frank’s full registration record.