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ANDREW DAVID GELLER
CRD#: 500253
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1999 Avenue of the Stars
SUITE 3600
Los Angeles, CA 90067
Registration History
1980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1989 - Present (35 years)BMUNICICORP OF CALIFORNIA (CRD# 7184)1976 - 1989 (13 years)
Disclosure(s)
View By:
4/7/2016
Customer Dispute
Denied
10/28/2005
Customer Dispute
Settled
5/19/1997
Customer Dispute
Settled
9/27/1993
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 3/16/1994

B
Nevada 8/31/1989

B
California 8/31/1989

B
New Hampshire 12/16/2024

IA
California 7/8/1997

B
New Jersey 2/7/2000

B
Florida 2/8/1991

B
New York 1/3/1992

B
Georgia 2/2/1994

B
Oregon 8/31/1989

B
Hawaii 8/30/1991

B
Tennessee 11/17/2017

B
Idaho 8/1/2019

B
Texas 2/27/2017

B
Illinois 12/10/2014

B
Virginia 12/10/2014

B
Kansas 9/29/2017

B
Washington 8/31/1989

B
Louisiana 3/30/2015

B
Wyoming 7/15/2019

B
Minnesota 2/6/1996

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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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1999 Avenue of the Stars SUITE 3600, Los Angeles, CA 90067
LOS ANGELES, CA
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1999 Avenue of the Stars SUITE 3600, Los Angeles, CA 90067
LOS ANGELES, CA
Registered with this firm since 8/29/1989

Previous Registration(s)
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B
06/16/1976 - 08/31/1989 MUNICICORP OF CALIFORNIA (CRD#:7184) WOODLAND HILLS, CA
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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.