Andrew Banks
Andrew Banks is a registered investment advisor at Wells Fargo Advisors, based in Naples, FL, with 43 years of industry experience. Andrew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
5811 Pelican Bay Blvd, Ste 600, Naples, FL, 34108
Get directionsHistory
Regulatory History (5)
Customer Dispute
August 2012Customer Dispute
June 2011Regulatory
January 2008Customer Dispute
December 2001Customer Dispute
March 1999Other Business Activities
Andrew is a co-trustee of a family trust since 2009. This activity is investment-related and requires minimal time.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Prudential Securities IncorporatedBroker
Oppenheimer & CO., INC.Broker
Prudential-Bache Securities INC.Broker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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