Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Christopher Smith is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Lincoln, Rhode Island. Andrew has been in the industry since June 6, 2017, and is a licensed broker-dealer with the ability to offer a wide range of investment products. Andrew is registered as an investment advisor representative in Rhode Island, Connecticut and Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Andrew was a registered representative at Santander Securities LLC in Plainville, Massachusetts from May 18, 2017, to November 15, 2017. Andrew holds Series 6, 7, 9, 10, 63 and 66 licenses.
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
RI
06/30/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
MA
05/18/2017 - 11/15/2017
SANTANDER SECURITIES LLC (PLAINVILLE MA)
BOTH
Issued 02/16/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2017
Series 7 - General Securities Representative Examination
BC
Issued 05/18/2017
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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