Former Charles Schwab & Co., Inc. broker Andrew Ciccone (CRD# 6864958) is accused of options losses. He has been registered with Altruist Financial LLC in Dallas, Texas, since 2026. He was registered with Kestra Investment Services, LLC in Austin, Texas, from 2024 to 2026, Charles Schwab & Co., Inc. in Westlake, Texas, from 2023 to 2024, and TD Ameritrade, Inc. in Westlake, Texas, from 2017 to 2024.
Andrew Ciccone Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
May 2025. “Starting in May 2021, the client alleges the representative provided specific trading guidance and trading strategies that were not in the client’s best interest.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding options losses, and it took place while he was registered with Charles Schwab & Co., Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Charles Schwab & Co., Inc. may be liable for investment or other losses suffered by Andrew Ciccone’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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