Andrew Babiak, financial advisor New Haven CT
93 score

Andrew Babiak

CRD Number: 1157941
Current Firm: Ubs Financial Services Inc.

Andrew Babiak (CRD# 1157941) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New Haven, CT and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Hartford, CT Sep 2005 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1996
S65 NASAA Investment Advisors Law Examination Jun 1999
Contact Info for Andrew Babiak
Phone Number: 201-352-3000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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