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ANDREA H ANDERSON
CRD#: 2785857
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 Washington Blvd 9th floor
STAMFORD, CT 06901
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2007 (6 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (1 year)
License(s)

State Registrations

B
California 12/17/2020

B
New Jersey 8/18/2010

B
Colorado 1/5/2021

B
New York 8/18/2010

B
Connecticut 8/18/2010

B
North Carolina 12/17/2020

IA
Connecticut 8/18/2010

B
Oregon 12/17/2020

B
Florida 8/18/2010

B
Pennsylvania 12/17/2020

B
Indiana 12/17/2020

B
Texas 8/18/2010

B
Massachusetts 12/17/2020

B
Vermont 12/17/2020

B
Minnesota 12/17/2020

B
Washington 12/17/2020

B
New Hampshire 12/17/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Washington Blvd 9th floor, STAMFORD, CT 06901
Registered with this firm since 8/18/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Washington Blvd 9th floor, STAMFORD, CT 06901
Registered with this firm since 8/18/2010

Previous Registration(s)
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IA
06/01/2009 - 08/30/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) GREENWICH, CT
B
06/01/2009 - 08/30/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) GREENWICH, CT
IA
06/20/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GREENWICH, CT
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) GREENWICH, CT
B
11/22/2000 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) GREENWICH, CT
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B
Broker
IA
Investment Adviser
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.