Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Bradford Shantz is an investment advisor representative registered with UBS Financial Services Inc. and has been in the industry since December 1996. Andrew has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Andrew is registered to provide securities and advisory services in Connecticut, New York and Texas. Andrew has a comprehensive set of licenses and professional designations, including the Series 31, 63, 65, 7 and SIE. Andrew has an active registration with both FINRA and the state of Connecticut.
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
04/11/2003 - Present
UBS Financial Services Inc. (STAMFORD CT)
NY
12/05/1996 - 04/16/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/1996
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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