Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Harvey has been in the financial services industry since December 2001. Andrew is currently registered with Stifel, Nicolaus & Company, Inc. in California as an Investment Advisor Representative. Previously, Andrew was registered with HILLTOP SECURITIES INC. and M.L. STERN & CO., LLC. Andrew is a Series 7, Series 63, and Series 65 licensed professional. Andrew has a diverse range of experience working with a wide variety of clients.
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
09/28/2015 - Present
Stifel, Nicolaus & Company, Inc. (SAN DIEGO CA)
CA
12/10/2008 - 10/23/2015
HILLTOP SECURITIES INC. (SAN DIEGO CA)
CA
12/11/2001 - 12/19/2008
M.L. STERN & CO., LLC. (SAN DIEGO CA)
IA
Issued 05/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2001
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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