Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Ralph Rudy is a financial advisor with over 30 years of experience in the industry. Andrew is registered with Stifel, Nicolaus & Company, Inc. and is also registered to provide investment advisory services in California and Texas. Previously, Andrew was employed with Southwest Securities, Inc., M.L. Stern & Co., LLC., Prudential Securities Incorporated and M.L. Stern & Co. Inc.
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.
1
2
CA
02/26/2019 - Present
Stifel, Nicolaus & Company, Inc. (MONTEREY CA)
CA
11/10/2008 - 04/15/2013
SOUTHWEST SECURITIES, INC. (MONTEREY CA)
CA
12/09/1992 - 12/22/2008
M.L. STERN & CO., LLC. (CARMEL CA)
NY
07/10/1992 - 11/24/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
08/23/1988 - 07/21/1992
M.L. STERN & CO. INC. (BEVERLY HILLS CA)
BOTH
Issued 07/31/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/07/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/30/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/2009
Series 4 - Registered Options Principal Examination
BC
Issued 11/03/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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