Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Vanness Battle is a financial advisor associated with Capfinancial Securities, LLC, located in Raleigh, North Carolina. Andrew has been in the industry since February 4, 2007. Andrew holds the Series 6, SIE, and Series 63 securities licenses. Prior to joining Capfinancial Securities, LLC, Andrew was affiliated with PRINCOR FINANCIAL SERVICES CORPORATION and FIRST CITIZENS INVESTOR SERVICES, 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.
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
NC
04/07/2016 - Present
Capfinancial Securities, LLC (RALEIGH NC)
NC
10/03/2011 - 02/19/2013
PRINCOR FINANCIAL SERVICES CORPORATION (RALEIGH NC)
NC
10/21/2003 - 08/02/2011
FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)
IA
Issued 04/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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