Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Dupont is a registered representative with Morgan Stanley. Andrew has been in the securities industry since 2004. Andrew has been registered with Morgan Stanley since 2016 and previously with UBS Financial Services Inc. and Morgan Stanley DW Inc. Andrew is registered to conduct securities business in 47 states and the District of Columbia. Andrew has a Series 3, 7, 31 and SIE license. Andrew is also licensed as an investment advisor representative in Connecticut, New York and Texas. Andrew is specialized in providing financial planning, asset allocation advice, educational seminars, and portfolio management for individuals, businesses and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
10/07/2016 - Present
Morgan Stanley (New York NY)
NY
09/15/2006 - 10/18/2016
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
01/03/2004 - 09/20/2006
MORGAN STANLEY DW INC. (NEW YORK NY)
BOTH
Issued 01/30/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2008
Series 3 - National Commodity Futures Examination
BC
Issued 02/17/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/31/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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