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Andrew J Apstein

Morgan Stanley & Co. LLC

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About Andrew J Apstein

Andrew Apstein is a financial advisor with over 20 years of experience in the industry. Andrew is currently registered with Morgan Stanley & Co. LLC, where Andrew has been employed since 2011. Andrew was previously employed by Stephens, BANC of America Securities LLC, and Commonwealth Financial Network. Andrew is a licensed Series 7 and Series 63 representative and holds the SIE designation. Andrew is registered with the Securities and Exchange Commission (SEC) and is also registered to sell securities in all states and jurisdictions in the United States.

Firm Information

Andrew Apstein is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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 Apstein’s Registration & Firm History

MA

01/31/2011 - Present

Morgan Stanley & Co. LLC (Boston MA)

MA

06/17/2009 - 01/18/2011

STEPHENS (BOSTON MA)

MA

05/27/2003 - 02/17/2009

BANC OF AMERICA SECURITIES LLC (BOSTON MA)

MA

06/20/2001 - 04/28/2003

COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)

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Licenses & Designations

BC

Issued 11/16/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/19/2001

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

MIAX Sapphire

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 J Apstein.
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