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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Babiak is a financial advisor with UBS Financial Services Inc. Andrew has been in the financial services industry since 1990 and has a broad range of experience. Andrew holds multiple licenses including Series 3, 7, 9, 10, 63 and 65. Andrew has been with UBS Financial Services Inc. since 2005. Before joining UBS Financial Services Inc., Andrew worked for Morgan Stanley DW Inc., CS First Boston Corporation and Dean Witter Reynolds Inc. Andrew is registered to conduct business in Connecticut and Texas. Andrew has a strong commitment to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
CT
08/25/2015 - Present
UBS Financial Services Inc. (HARTFORD CT)
NY
01/31/1996 - 09/23/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/01/1988 - 08/03/1989
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NA
04/02/1983 - 10/09/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 06/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/07/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1999
Series 3 - National Commodity Futures Examination
BC
Issued 01/30/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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