Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Maxwell Scates is a financial advisor with over 6 years of experience in the industry. Andrew is currently registered with THE Ayco Company, LP in Dallas, TX, and has been with them since November 2017. Andrew has previously worked at Mercer Allied Company, L.P., Fidelity Brokerage Services LLC, and National Financial Services LLC. Andrew has passed the Series 3, 63, 66, and 7 exams as well as the SIE exam. Andrew has a strong track record of providing financial advice to individuals, families, and businesses. Andrew specializes in helping clients with financial planning, portfolio management, and retirement planning. Andrew is committed to providing clients with personalized and comprehensive financial advice that meets their individual needs.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
11/03/2017 - Present
THE Ayco Company, LP (Dallas TX)
TX
11/03/2017 - 01/04/2021
MERCER ALLIED COMPANY, L.P. (DALLAS TX)
TX
04/28/2015 - 10/04/2017
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
12/04/2014 - 04/08/2015
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
BOTH
Issued 12/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2014
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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