Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Yates is a financial professional with over 10 years of experience in the industry. He is currently registered with Smbc Nikko Securities America, Inc. and has previously worked for BNP PARIBAS SECURITIES CORP. and Goldman Sachs & Co. Andrew has a broad range of experience in the financial industry, and is committed to providing his clients with personalized advice and service. He holds a Series 7, Series 24, and Series 4 licenses, along with the SIE exam.
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.
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.
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2
NY
04/07/2022 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
03/02/2017 - 12/07/2021
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
05/18/2012 - 12/16/2016
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
03/01/2012 - 04/30/2012
HOLD BROTHERS CAPITAL LLC (NEW YORK NY)
NY
10/17/2011 - 03/21/2012
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 12/18/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/09/2012
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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FINRA
N
NYSE Arca, Inc.
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