Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that New Jersey-based UBS Financial Services broker/adviser Andrew Perry has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Perry (CRD# 1726938).
Andrew Perry has spent 30 years in the securities industry and has been registered with UBS Financial Services in Short Hills, New Jersey; Margate, New Jersey; and New York, New York since 2008. Previous registrations include Deutsche Bank Securities in New York, New York (2002-2008); Merrill Lynch in New York, New York (1999-2002); Lehman Brothers in New York, New York (1995-1998); Salomon Brothers Municipals (1992-1995); Salomon Brothers in New York, New York (1991-1995); Prudential Securities in New York, New York (1989-1991); and Thomson McKinnon Securities (1987-1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 4, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 29, 2014; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 1987 . He is a registered broker and investment adviser with 36 US states and territories.
According to his BrokerCheck report, he has received two pending customer disputes.
In March 2019 a customer alleged Andrew Perry, while employed at UBS Financial Services, recommended unsuitable investments and misrepresented material facts in connection to an options overlay strategy investment. The customer is seeking $650,000 in damages in the pending complaint.
In February 2019 a customer alleged Andrew Perry, while employed at UBS Financial Services, misrepresented and recommended an unsuitable options overlay strategy. The customer is seeking $1,000,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Andrew Perry, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.