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Andrew G Affa

LPL Enterprise, LLC

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About Andrew G Affa

Andrew G Affa is a financial professional with over 23 years of experience in the industry. Andrew is registered with LPL Enterprise, LLC in Melville, New York. Prior to joining LPL Enterprise, LLC, Andrew was affiliated with UBS Financial Services Inc. in Weehawken, New Jersey. Andrew is also a registered Investment Advisor representative and holds the Series 7, Series 63, Series 65, and Series 66 licenses. Andrew's areas of expertise include portfolio management for individuals and businesses, financial planning, and educational seminars.

Firm Information

Andrew Affa is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Andrew Affa’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (MELVILLE NY)

NJ

11/10/1999 - 08/26/2005

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

07/31/1993 - 11/22/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

01/23/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/16/2023

Series 66 - Uniform Combined State Law Examination

IA

Issued 10/19/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/30/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/09/2023

Series 7TO - General Securities Representative Examination

BC

Issued 08/16/2023

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Andrew G Affa. Review regulatory record here.
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