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Detailed Report
ANDREW F FREDRIC PERRY
ANDREW F PERRY, ANDREW FREDRIC PERRY, ANDREW F PERRY
CRD#: 1726938
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 Miami Beach, FL
Registration History
199019952000200520102015202020252 FIRMS1999 - 2002 (3 years)2 FIRMS2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2022 (14 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2002 - 2008 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1995 - 1998 (3 years)BSALOMON BROTHERS MUNICIPALS INC (CRD# 28940)1992 - 1995 (2 years)BSALOMON BROTHERS INC. (CRD# 740)1991 - 1995 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 1991 (2 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1987 - 1988 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - 2022 (8 years)
Disclosure(s)
View By:
2/15/2019
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/4/2022
B
Minnesota 4/10/2024
B
California 11/4/2022
B
Missouri 11/4/2022
B
Colorado 1/23/2024
B
Nevada 11/4/2022
B
Connecticut 11/4/2022
B
New Jersey 11/4/2022
B
Delaware 12/21/2022
IA
New Jersey 11/4/2022
B
District of Columbia 11/4/2022
B
New York 11/4/2022
B
Florida 11/4/2022
B
North Carolina 11/4/2022
IA
Florida 10/4/2023
B
Ohio 11/4/2022
B
Georgia 11/4/2022
B
Oregon 12/3/2022
B
Hawaii 3/29/2023
B
Pennsylvania 11/4/2022
B
Illinois 1/5/2023
B
South Dakota 2/20/2024
B
Indiana 12/6/2022
B
Tennessee 11/4/2022
B
Kentucky 3/6/2025
IA
Texas 11/4/2022
B
Louisiana 11/4/2022
B
Texas 12/14/2022
B
Maine 11/4/2022
B
Virginia 11/4/2022
B
Massachusetts 11/22/2022
B
Washington 11/4/2022
B
Michigan 11/4/2022
B
Wyoming 11/6/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
Miami Beach, FL
Margate, NJ
Registered with this firm since 11/4/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
Miami Beach, FL
Margate, NJ
Registered with this firm since 11/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/10/2014 - 11/15/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) MARGATE, NJ
B
 10/17/2008 - 11/15/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) MARGATE, NJ
B
 11/08/2002 - 11/13/2008 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
IA
 01/05/1999 - 11/12/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) FLOHAM PARK, NJ
B
 01/04/1999 - 11/12/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 04/12/1995 - 12/15/1998 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 11/10/1992 - 04/27/1995 SALOMON BROTHERS MUNICIPALS INC (CRD#:28940)
B
 06/06/1991 - 04/27/1995 SALOMON BROTHERS INC. (CRD#:740) NEW YORK, NY
B
 03/10/1989 - 06/05/1991 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/23/1987 - 05/24/1988 THOMSON MCKINNON SECURITIES INC. (CRD#:829)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.