Andrew T. Macintosh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Taylor Macintosh, who also goes by Andy Macintosh, Andrew Taylor Mcintosh, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1991. Andrew had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2012 - February 4, 2015
EXANE, INC.
September 17, 1998 - September 7, 2012
MORGAN STANLEY & CO. LLC
June 8, 1993 - October 2, 1998
ABN AMRO INCORPORATED
January 22, 1991 - May 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EXANE, INC.
CRD#: 41784 / SEC#: , 8-49569
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
