Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andres? Claim Your ProfileAndres Vargas is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Andres has been active in the financial services industry since 2001. The advisor's professional experience includes previous roles at BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC and EMPIRE SECURITIES CORPORATION OF SOUTHERN CALIFORNIA. The advisor holds the Series 7, Series 7TO, Series 24, Series 66 and SIE licenses. Andres Vargas is registered with the state of California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/20/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
10/23/2009 - 05/20/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
01/14/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
10/04/2001 - 01/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
06/13/2001 - 09/26/2001
EMPIRE SECURITIES CORPORATION OF SOUTHERN CALIFORNIA (EL SEGUNDO CA)
BOTH
Issued 06/17/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2023
Series 24 - General Securities Principal Examination
BC
Issued 03/25/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/04/2023
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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