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ANDREW D BAUMGARTNER
ANDREW BAUMGARTNER
CRD#: 5328325
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA STREET
32ND FLOOR/ SUITE 3200
SAN FRANCISCO, CA 94104
32ND FLOOR/ SUITE 3200
SAN FRANCISCO, CA 94104
0
Disclosures
12
Years of Experience
View By:
State Registrations
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California 6/27/2022
B
New Hampshire 12/24/2024
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California 6/27/2022
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New Jersey 6/30/2022
B
Colorado 6/30/2022
B
New York 6/30/2022
B
Connecticut 1/12/2023
B
North Carolina 12/9/2024
B
Delaware 11/15/2024
B
Oregon 6/30/2022
B
Florida 4/2/2024
B
Pennsylvania 2/24/2025
B
Georgia 6/30/2022
B
South Carolina 7/24/2024
B
Hawaii 8/16/2022
B
Tennessee 3/27/2023
B
Idaho 12/25/2024
B
Texas 6/30/2022
B
Illinois 6/30/2022
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Texas 10/2/2023
B
Maryland 1/12/2023
B
Virginia 2/26/2025
B
Massachusetts 1/20/2023
B
Washington 6/30/2022
B
Michigan 8/8/2022
B
Wisconsin 6/30/2022
B
Nevada 3/27/2023
SRO Registrations
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B
B
B
B
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B
B
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IA
Registered with this firm since 6/27/2022
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Registered with this firm since 6/27/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2018 - 06/28/2022 | SAN FRANCISCO, CA | |
B | 01/15/2019 - 06/28/2022 | SAN FRANCISCO, CA | |
IA | 01/03/2011 - 11/03/2016 | SAN FRANCISCO, CA | |
B | 01/03/2011 - 11/03/2016 | SAN FRANCISCO, CA | |
IA | 08/23/2010 - 01/03/2011 | BEVERLY HILLS, CA | |
B | 04/01/2010 - 01/03/2011 | BEVERLY HILLS, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.