Andrew E. Craighead
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 Eugene Craighead was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1995. Andrew had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2014 - June 25, 2021
UBS ASSET MANAGEMENT (US) INC.
May 1, 2001 - June 20, 2007
J.P. MORGAN SECURITIES INC.
March 7, 1995 - May 1, 2001
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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