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RIA / WealthAdvisorCertified Financial Planner25 years in industry

ANDREW BENJAMIN WAXMAN

Advisor at WAXMAN FINANCIAL

PARKLAND, FL

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Search this name across graphsid dfx:ria:37d77042-af7a-c59d-76b4-59f8dcd78fc8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WAXMAN FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 13, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 13, 2000
First registration: Nov 22, 2000
Dual registered: no
Other names: ANDREW B WAXMAN
IAPD individual key: 4286534

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WAXMAN FINANCIAL	State registered	Jan 1, 2026	n/a	yes	PARKLAND, FL	Current employment
AMERANT INVESTMENTS, INC.	Independent wealth	Nov 6, 2012	Sep 3, 2013	no	AVENTURA, FL\|CORAL GABLES, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 29, 2010	Jan 7, 2011	no	FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL	Previous registration
COMERICA SECURITIES	Former SEC adviser	Feb 2, 2007	Jul 25, 2008	no	WESTON, FL\|DETROIT, MI\|FORT LAUDERDALE, FL	Previous registration
PFIC ADVISORS, INC.	n/a	Apr 28, 2006	Nov 6, 2006	no	FRANKLIN, TN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 9, 2002	Nov 15, 2005	no	FORT LAUDERDALE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 22, 2000	May 8, 2002	no	VIENNA, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERANT INVESTMENTS, INC.	WAXMAN FINANCIAL	Sep 3, 2013	Jan 1, 2026	4,503	Firm change after gap	Other
WELLS FARGO ADVISORS	AMERANT INVESTMENTS, INC.	Jan 7, 2011	Nov 6, 2012	669	Firm change after gap	Other
COMERICA SECURITIES	WELLS FARGO ADVISORS	Jul 25, 2008	Jan 29, 2010	553	Firm change after gap	Other
PFIC ADVISORS, INC.	COMERICA SECURITIES	Nov 6, 2006	Feb 2, 2007	88	Firm change	Other
WELLS FARGO ADVISORS	PFIC ADVISORS, INC.	Nov 15, 2005	Apr 28, 2006	164	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO ADVISORS	May 8, 2002	Sep 9, 2002	124	Firm change	Ibd to wirehouse

Relationships

Registered with (6)

→ WAXMAN FINANCIALRegistered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ AMERANT INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 6, 2012 to Sep 3, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 29, 2010 to Jan 7, 2011factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Feb 2, 2007 to Jul 25, 2008factForm ADV
→ PFIC ADVISORS, INC.Registered adviserregistration: previous registration
Apr 28, 2006 to Nov 6, 2006factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 22, 2000 to May 8, 2002factForm ADV

Dated events

No dated event names this entity yet.