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Andrew John Pallas

Minichmacgregor Wealth Management, LLC

Saratoga Springs, NY

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Current Employers
Minichmacgregor Wealth Management, Llc

21 Congress Street Suite 203, Saratoga Springs, NY 12866 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-11-15
  • NY RA
    APPROVED
    Since 2022-11-15

Branch Locations

21 Congress Street Suite 203, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors New York NY 05/2016 09/2017
Cap Com Financial Albany NY 09/2017 10/2022
Lpl Financial Llc Albany NY 08/2019 10/2019
Lpl Financial Llc Albany NY 05/2020 10/2022
Minichmacgregor Wealth Management Saratoga Springs NY 10/2022 Present
  • 05/2016 → 09/2017
    Axa Advisors
    New York, NY
  • 09/2017 → 10/2022
    Cap Com Financial
    Albany, NY
  • 08/2019 → 10/2019
    Lpl Financial Llc
    Albany, NY
  • 05/2020 → 10/2022
    Lpl Financial Llc
    Albany, NY
  • 10/2022 → Present
    Minichmacgregor Wealth Management
    Saratoga Springs, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-06-19
S63 Uniform Securities Agent State Law Examination 2014-10-09
  • S65 Uniform Investment Adviser Law Examination
    2016-06-19
  • S63 Uniform Securities Agent State Law Examination
    2014-10-09
Designations

View on SEC IAPD

Other Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
CONTINUUM WEALTH ADVISORS, LLC
STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC

Other Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN
CAMERON VICTORIA CORSI
Cory Matthew Larmour
ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

More in Saratoga Springs, NY

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