Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Kenneth Pleat is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., licensed in New York and Texas. Andrew has been in the financial industry for over 20 years, having previously worked with UBS Financial Services Inc. and Citigroup Global Markets Inc. Andrew offers financial planning, pension consulting, and investment advisory services to individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
08/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
02/16/2007 - 08/20/2012
UBS FINANCIAL SERVICES INC. (ALBANY NY)
NY
06/11/2003 - 02/22/2007
MERCER ALLIED COMPANY, L.P. (ALBANY NY)
NY
04/04/2000 - 05/14/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 07/17/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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