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Andrew G Adams

Barclays Capital Inc.

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About Andrew G Adams

Andrew G Adams is a financial professional with over 17 years of experience in the industry. Currently, Andrew is registered with Barclays Capital Inc. and previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Andrew is licensed to provide investment advice in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Andrew holds a Series 3, 7, 24, 55, 57TO, 63 and SIE.

Firm Information

Andrew Adams is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Andrew Adams’s Registration & Firm History

MA

05/15/2017 - Present

Barclays Capital Inc. (BOSTON MA)

MA

08/22/2005 - 05/09/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)

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Licenses & Designations

BC

Issued 08/25/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/17/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2006

Series 3 - National Commodity Futures Examination

BC

Issued 11/30/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/19/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew G Adams.
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