Andrew D Baumgartner
Investment adviser representative at UBS Financial Services Inc.
19 yearsExperience
2 statesRegistered in
$915.8BFirm assets
55 yearsFirm in business
Are you Andrew D Baumgartner? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
19 years in the industry.
- UBS Financial Services Inc.Jun 2022 to now
- UBS Financial Services.incJun 2022 to now
- Mbsc Securities CorporationOct 2018 to Jun 2022
- BNY Mellon Wealth ManagementNov 2016 to Jun 2022
- Wells Fargo Advisors LLCJan 2011 to Nov 2016
- Wells Fargo BankJul 2007 to Nov 2016
Exams passed
- Series 66 · Uniform Combined State Law2010
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5328325
- Firm CRD
- 8174