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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Leigh Smith is a financial advisor with Wells Fargo Clearing Services, LLC. Andrew is a registered representative and investment advisor representative and has been in the industry since February 1977. Andrew has experience in providing financial advice to individuals, corporations, and institutions. Andrew is registered with the following states: Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Virginia. Andrew holds the following licenses: Series 7, Series 9, Series 10, Series 12, Series 31, Series 63, and Series 65. Andrew also holds the SIE exam. Andrew has worked for various firms throughout their career, including Oppenheimer & Co. Inc., CIBC World Markets Corp., J.P. Morgan Securities Inc., Hambrecht & Quist LLC, Alex. Brown & Sons Incorporated, and Sutro & Co. Incorporated.
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.
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.
Investment consulting services to institutional clients
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
01/13/2018 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
01/03/2003 - 07/01/2010
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
11/14/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
02/01/2000 - 11/21/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/01/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
05/15/1996 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NA
01/10/1991 - 05/24/1996
ALEX. BROWN & SONS INCORPORATED
CA
01/11/1984 - 01/10/1991
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
03/01/1977 - 01/30/1984
E. F. HUTTON & COMPANY INC
IA
Issued 10/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/06/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/01/1980
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 02/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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