Andrew R. Robertson

UHLMANN PRICE SECURITIES

Skokie, IL 60077

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CRD#: 2168295

Professional summary

Andrew Richard Robertson, who also goes by Andrew Robertson, is a registered financial professional currently at UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1991. Andrew has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Robertson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Richard Robertson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 2, 2024 - Present

UHLMANN PRICE SECURITIES, LLC

Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077

CRD#: 42854

Skokie, IL

Past

January 12, 2021 - February 1, 2024

MCG SECURITIES LLC

CRD#: 163144

WAYNE, PA

Past

December 16, 2020 - February 9, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

May 24, 2018 - September 15, 2020

WELLS FARGO SECURITIES, LLC

CRD#: 126292

New York, NY

Past

January 11, 2011 - June 30, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 22, 1998 - November 24, 2014

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 12, 1996 - November 11, 1997

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 12, 1991 - January 12, 1996

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(2/2/2024)

New York
(2/2/2024)

Exams

State Security Law Exam

Series 63

Date: 4/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UHLMANN PRICE SECURITIES, LLC

UHLMANN INVESTMENTS, LLC | UHLMANN PRICE SECURITIES, LLC

CRD#: 42854 / SEC#: , 8-50041

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

5202 Old Orchard Road Suite 250, Skokie, IL 60077

Mailing Address

5202 Old Orchard Road Suite 250, Skokie, IL 60077

Phone number

(847) 305-2037

Established

Illinois since 02/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UPS HOLDINGS, LLC	OWNER
BAER, JAMES DANA	PRESIDENT/FINOP	9936
JBAK, LLC	OWNER
KELLY, CINDY MARIE	CHIEF OPERATING OFFICER	3270586
KELLY, CINDY MARIE	CCO	3270586
KONN, ALAN ROBERT	MANAGING MEMBER	1406973

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.

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Advisor Monitoring

Firm Stability Insights

Andrew R. Robertson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Richard Robertson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCG SECURITIES LLC

EQUITABLE ADVISORS, LLC

WELLS FARGO SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

BARCLAYS CAPITAL INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/11/1991

Series 24

Date: 3/13/1997

FINRA

Current Firm

UHLMANN PRICE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

UHLMANN PRICE SECURITIES, LLC

TRUST BUT VERIFY

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