Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew D. Stone is a financial advisor with over 20 years of experience in the industry. Andrew is currently registered with UBS Financial Services Inc. Andrew has been with UBS Financial Services Inc. since 2013. Andrew is also a Registered Representative of UBS Financial Services Inc. in both New York and Texas. Prior to joining UBS Financial Services Inc., Andrew worked at Morgan Stanley, Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Andrew holds the Series 66, Series 31 and Series 7 licenses. Andrew specializes in providing financial planning, pension consulting, educational seminars, security ratings, selection of other advisers, portfolio management for businesses and individuals.
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
NY
10/10/2022 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 04/29/2013
MORGAN STANLEY (NEW YORK NY)
NY
12/12/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/21/2000 - 12/13/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/30/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/2000
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
Not sure Andrew Stone is the right advisor for you? Invested Better is here to help.
