Andrew Spivey, financial advisor Los Gatos CA
71 score

Andrew Spivey

CRD Number: 4490447
Current Firm: Evolve Wealth Management, LLC

Andrew Spivey (CRD# 4490447) is an Investment Advisor Representative working at Evolve Wealth Management, LLC in Los Gatos, CA and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Evolve Wealth Management, LLC Los Gatos, CA Jul 2015 - Current 1
Waddell & Reed, Inc. Campbell, CA Sep 2011 - Jul 2015 3
Wells Fargo Advisors LLC Mountain View, CA Jan 2011 - Sep 2011 < 1
Wells Fargo Investments, LLC Palo Alto/mountain View, CA May 2008 - Jan 2011 2
Citigroup Global Markets Inc. Palo Alto, CA May 2007 - May 2008 1
Citicorp Investment Services Los Altos, CA Dec 2004 - Oct 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2005
S65 NASAA Investment Advisors Law Examination Oct 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Andrew G. Spivey
Phone Number: 408.460.0040
Firm Website: http://www.evolvewm.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

CA

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BADGES
71

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