Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew James Plum is a financial advisor with over 20 years of experience in the financial industry. Andrew joined UBS Financial Services Inc. in September 2010. Before that, Andrew worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated from December 2001 until October 2010. Andrew holds several licenses and certifications including Series 7, Series 10, Series 9, Series 31 and Series 66. Andrew is registered to provide investment advice in many states including Florida, Texas, California, New York, and Arizona. Andrew's primary office location is in West Palm Beach, Florida.
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.
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.
See schedule d - miscellaneous
1
2
FL
09/30/2010 - Present
UBS Financial Services Inc. (WEST PALM BEACH FL)
FL
12/05/2001 - 10/08/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STUART FL)
BOTH
Issued 12/28/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/14/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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