Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Kevin Powell is an investment advisor representative who has been in the industry since 2004. Andrew Kevin Powell is currently registered with UBS Financial Services Inc. and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and BANC OF AMERICA INVESTMENT SERVICES, INC.. Andrew Kevin Powell is licensed to provide financial services in Texas and is registered with the state of Texas as a broker-dealer and investment advisor.
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
NJ
09/06/2022 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
TX
11/12/2018 - 07/22/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
10/23/2009 - 07/23/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SUGAR LAND TX)
TX
02/26/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SUGARLAND TX)
TX
06/02/2003 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (RICHMOND TX)
MA
12/11/2000 - 01/25/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 09/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/12/2018
Series 7 - General Securities Representative Examination
BC
Issued 07/23/2016
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2000
Series 6 - Investment Company Products/Variable Contracts 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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