Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Baumgartner is a financial advisor with UBS Financial Services Inc. based in San Francisco, CA. Andrew has over 15 years of experience in the financial services industry. Andrew has been registered with FINRA since 2010 and holds a Series 7, Series 66, and SIE license. Prior to joining UBS Financial Services Inc., Andrew was a financial advisor at BNY Mellon Securities Corporation and Wells Fargo Advisors. Andrew specializes in providing financial advice to high-net-worth individuals, families, and businesses.
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
CA
10/02/2023 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
01/15/2019 - 06/28/2022
BNY MELLON SECURITIES CORPORATION (SAN FRANCISCO CA)
CA
01/03/2011 - 11/03/2016
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
04/01/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEVERLY HILLS CA)
BOTH
Issued 08/21/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 11/03/2016
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2010
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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