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Andrew Baker Morton

UBS Securities LLC

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About Andrew Baker Morton

Andrew Baker Morton is an experienced financial professional with over 35 years in the industry. Andrew has worked at UBS Securities LLC since 2009. Prior to UBS, Andrew was at Jonestrading, Citigroup Global Markets Inc., Salomon Brothers Inc., and Prudential Securities Incorporated. Andrew holds Series 7, 55, 57TO, and SIE licenses. Andrew is registered to sell securities in all 50 states, the District of Columbia, and Puerto Rico.

Firm Information

Andrew Morton is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Andrew Morton’s Registration & Firm History

NY

06/02/2009 - Present

UBS Securities LLC (NEW YORK NY)

CT

04/01/2008 - 05/20/2009

JONESTRADING (GREENWICH CT)

NY

11/28/1997 - 04/21/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

03/09/1993 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

NY

05/21/1986 - 02/18/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/10/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/17/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew Baker Morton.
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