Andrew J. Pallas

MINICHMACGREGOR WEALTH MANAGEMENT

Saratoga Springs, NY 12866

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CRD#: 6113250

Professional summary

Andrew John Pallas is a registered financial advisor currently at MINICHMACGREGOR WEALTH MANAGEMENT, LLC located in Saratoga Springs, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)5/12/2020- CAP COM Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)5/12/2020- CAP COM FCU- Financial Institution Duty/ Relationship Manager-Inv. Related- at reported business location(s)- start date 7/1/2018-100% 3 5/12/2020- CAP COM FCU- Notary -Inv. Related- at reported business location(s)- start date 8/1/2019- 37hrs/mth- 25%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Pallas'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

November 15, 2022 - Present

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Office #1: 21 Congress Street Suite 203, Saratoga Springs, NY 12866

RIA

CRD#: 151237

Saratoga Springs, NY

Past

May 13, 2020 - December 9, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALBANY, NY

Past

May 12, 2020 - December 9, 2022

LPL FINANCIAL LLC

CRD#: 6413

ALBANY, NY

Past

October 10, 2019 - October 11, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALBANY, NY

Past

October 8, 2019 - October 11, 2019

LPL FINANCIAL LLC

CRD#: 6413

ALBANY, NY

Past

July 7, 2016 - September 13, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WILLIAMSVILLE, NY

Past

June 6, 2016 - September 13, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

WILLIAMSVILLE, NY

Past

April 16, 2014 - May 11, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

EAST AURORA, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA

Registered Investment Advisory firm - (8/20/2009 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(11/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2014

General Securities Representative Examination

Current Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

DEUCE MANAGEMENT, LLC | MINICHMACGREGOR WEALTH MANAGEMENT, LLC

CRD#: 151237 / SEC#: 801-70490

RIA

Registered Investment Advisory firm - (8/20/2009 Approved)

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Contact information

Main Address

21 Congress Street Suite 203, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 499-4565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MINICHMACGREGOR WEALTH MANAGEMENT, LLC ADV BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	2,698
AUM (Assets Under Management)	$ 630,016,934

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 J. Pallas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Pallas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2016

Series 63

Date: 10/9/2014

Series 7TO

Date: 1/2/2023

SIE

Date: 9/13/2017

Series 7

Date: 4/16/2014

Current Firm

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MINICHMACGREGOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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