Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Tappe is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Andrew has been in the securities industry since August 2007 and has licenses in Illinois, Missouri, and Texas. Andrew has Series 6, 7, and 63 licenses as well as the SIE. Andrew also holds a Series 65 license and is a registered investment advisor in Illinois and Missouri. In addition to providing financial advice, Andrew Tappe also serves as a committee member for the Quincy Notre Dame High School and an advisory board member for the Quincy University Mart Heinen Board.
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
IL
01/03/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (QUINCY IL)
IL
09/08/2005 - 10/28/2011
CHASE INVESTMENT SERVICES CORP. (EVANSTON IL)
IA
Issued 06/15/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/07/2005
Series 6 - Investment Company Products/Variable Contracts 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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