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Smith Andrew Heaps

Barclays Capital Inc.

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About Smith Andrew Heaps

Andrew Heaps is a registered representative with Barclays Capital Inc. in Menlo Park, California. Andrew has passed the Series 63, SIE, and Series 79TO exams. Andrew is licensed in California.

Firm Information

Smith Heaps is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Smith Heaps’s Registration & Firm History

CA

08/26/2024 - Present

Barclays Capital Inc. (MENLO PARK CA)

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Licenses & Designations

BC

Issued 07/26/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/24/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 07/12/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Smith Andrew Heaps.
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