Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Mbaya is a registered investment advisor with UBS Financial Services Inc. in New York, NY. Andrew has been in the industry since October 13, 2016. Andrew is registered to offer investment advice in Connecticut, Florida, New Jersey, and New York. Andrew's primary firm is UBS Financial Services Inc., but Andrew has also been previously employed by Oppenheimer & Co. Inc., NYLIFE Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Andrew holds the Series 66, Series 7, and SIE exams. Andrew specializes in investment advice for high-net-worth individuals, corporations or other businesses, individuals other than high-net-worth, charitable organizations, and pension and profit-sharing plans. Andrew is a registered representative of UBS Financial Services Inc. and a registered investment advisor in New Jersey and New York.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/12/2017 - 11/03/2017
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
10/15/2012 - 03/25/2013
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
10/26/2009 - 10/04/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2017
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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