Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Keating is a financial professional with over 18 years of experience in the financial services industry. Andrew is currently registered as a Registered Representative with Charles Schwab & CO., Inc. and is also an Investment Adviser Representative in Texas. Andrew has held previous positions with Thornhill Securities, Inc., NFP Advisor Services, LLC, NFP Securities, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Legg Mason Wood Walker, Incorporated. Andrew has a wide range of experience in the financial services industry, including investments, financial planning, and investment banking. Andrew is also a Certified Financial Planner.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/09/2017 - Present
Charles Schwab & CO., Inc. (Austin TX)
TX
12/08/2014 - 12/12/2016
THORNHILL SECURITIES, INC. (AUSTIN TX)
TX
08/25/2014 - 11/19/2014
NFP ADVISOR SERVICES, LLC (AUSTIN TX)
TX
02/03/2011 - 10/04/2013
NFP SECURITIES, INC. (AUSTIN TX)
TX
06/01/2009 - 12/22/2010
MORGAN STANLEY SMITH BARNEY (AUSTIN TX)
TX
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (AUSTIN TX)
MD
11/07/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
TX
04/16/2003 - 08/30/2005
NFP SECURITIES, INC. (AUSTIN TX)
BOTH
Issued 06/02/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/13/2012
Series 24 - General Securities Principal Examination
BC
Issued 02/10/2005
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 11/03/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/10/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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