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AB

Andrew W. Blake

Some features on this profile are disabled
CRD#: 6158068
AB

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 Wright Blake was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2013. Andrew had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 2018 - March 23, 2021

WELLESLEY ASSET MANAGEMENT, INC.

RIA
CRD#: 116176
WELLESLEY, MA
Past

August 1, 2018 - April 1, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Wellesley, MA
Past

December 15, 2017 - July 16, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
Tempe, AZ
Past

March 5, 2013 - July 16, 2018

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
Tempe, AZ

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".
WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA
Registered Investment Advisory firm - (6/27/2002 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/22/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/4/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA
Registered Investment Advisory firm - (6/27/2002 Approved)
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Contact information

Main Address
100 Market Street Suite 203, Portsmouth, NH 03801
Mailing Address
Phone number
(781) 416-4000
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)
WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts1,478
AUM (Assets Under Management)$ 2,063,684,848

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.

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

CRD#: 116176

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