Andy Armstrong has been Chief Compliance Officer of Toro West Capital Advisors since October 2024, is not listed as a control person, but directly owns under 5% of the firm.
Toro West Capital Advisors, LLC is a Louisville, CO firm with $246M under management, 21 clients and 2 advisers in one office, as of its April 2026 filing.
Andrew Armstrong is Chief Compliance Officer of Toro West Capital Advisors. He is responsible for the firm's compliance with SEC standards. He also serves Toro West clients as a strategic partner, and is a vice president and compliance officer with Dinsmore Compliant Services.
No adviser firm registrations are on Andy Armstrong’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 17 March 2005 |
| Series 24 | General Securities Principal Examination | 13 February 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 June 2002 |
| Series 7 | General Securities Representative Examination | 26 March 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andy John Armstrong
- CRD
- 4448534
- Firm
- Toro West Capital Advisors · CRD 331265
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- torowestcapital.com
Where does Andy Armstrong work?
Andy Armstrong has been Chief Compliance Officer of Toro West Capital Advisors, LLC since October 2024.
Does Andy Armstrong have a current investment-adviser registration?
Andy Armstrong has no current investment-adviser or broker registration.
What exams has Andy Armstrong passed?
Andy Armstrong has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 53. The earliest, the Series 7, was passed in March 2002. FINRA credited Andy Armstrong with the SIE, which began in October 2018.
Is Andy Armstrong registered with FINRA?
No. Andy Armstrong has no current broker registration.
How can I verify Andy Armstrong’s record?
Search CRD 4448534 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andy Armstrong’s full registration record.
