Andrew BainCRD Number: 2971830
Current Firm: Advice And Planning Services
Andrew Bain (CRD# 2971830) is an Investment Advisor Representative working at Advice And Planning Services in Charlotte, NC and has over 19 years of experience in the finance industry. Andrew Bain has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Tiaa-cref Individual & Institutional Services, LLC||Charlotte, NC||Aug 2005 - Current||12|
|Tiaa||Charlotte, NC||Aug 2005 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1998|
|S65||NASAA Investment Advisors Law Examination||Nov 2003|
Total Assets Under Management16,792MILLIONS
Total Number of Accounts45,960ACCOUNTS
Average Account Value$365,356
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV