Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Bateman is a financial advisor who has been in the industry since 2016. Andrew is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and is licensed to provide investment advice in Nevada and Texas. Andrew has a strong background in the industry with previous experience at Wells Fargo Clearing Services, LLC and First Allied Securities, Inc.. Andrew holds a number of professional licenses and designations, including Series 7, 63, 66, and SIE.
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
NV
08/07/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
NV
05/31/2019 - 06/29/2023
WELLS FARGO CLEARING SERVICES, LLC (LAS VEGAS NV)
NV
06/13/2005 - 12/07/2006
FIRST ALLIED SECURITIES, INC. (LAS VEGAS NV)
CA
09/03/2004 - 06/13/2005
ROUND HILL SECURITIES, INC. (ALAMO CA)
CA
03/31/2004 - 08/31/2004
M.L. STERN & CO., LLC. (BEVERLY HILLS CA)
BOTH
Issued 04/16/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/13/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/31/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/08/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2004
Series 7 - General Securities 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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