Andrew Pallas has been an investment adviser representative at Minichmacgregor Wealth Management since November 2022, and is not listed among the firm’s executive officers or direct owners. Andrew Pallas holds a Bachelor of Arts in History from Canisius College.
Minichmacgregor Wealth Management, LLC is a Saratoga Springs, NY firm with $723M under management, 928 clients and 7 advisers across 3 offices, as of its May 2026 filing.
Andrew Pallas is Financial Planner of Minich MacGregor Wealth Management. He has been a financial advisor since 2014 and focuses on the financial and retirement planning needs of clients approaching or enjoying retirement. He also has experience with Social Security planning, Medicare planning and tax planning.
Andrew Pallas’ longest registration is the current one, 3 years at Minichmacgregor Wealth Management since 2022. Before joining Minichmacgregor Wealth Management in 2022, Andrew Pallas was registered through LPL Financial LLC and Axa Advisors, LLC.
- – present · 3 yearsSaratoga Springs, NY · Adviser representative · Firm CRD 151237
- LPL Financial LLC– · 2 yearsAlbany, NY · Adviser representative · Firm CRD 6413
- LPL Financial LLC– · under a yearAlbany, NY · Adviser representative · Firm CRD 6413
- Axa Advisors, LLC– · 1 yearWilliamsville, NY · Adviser representative · Firm CRD 6627
Professional designations
Listed by Minichmacgregor Wealth Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Andrew Pallas is registered as an investment adviser representative in New York, since November 2022.
- New YorkSince 15 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 19 June 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 2014 |
| Series 7 | General Securities Representative Examination | 16 April 2014 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew John Pallas
- CRD
- 6113250
- Firm
- Minichmacgregor Wealth Management · CRD 151237
- Office
- 21 CONGRESS STREET, SUITE 203, Saratoga Springs, NY 12866
- Registration
- Investment adviser registration
- In the industry since
- January 2017
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mmwealth.com
Where does Andrew Pallas work?
Andrew Pallas is an investment adviser representative registered through Minichmacgregor Wealth Management, LLC since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is Andrew Pallas a financial advisor?
Yes. Andrew Pallas has a current investment-adviser registration in New York, through Minichmacgregor Wealth Management since November 2022.
How many years of experience does Andrew Pallas have?
Andrew Pallas has 9 years in the financial industry, since January 2017, across 3 adviser firms.
What exams has Andrew Pallas passed?
Andrew Pallas has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 7TO. The earliest, the Series 7, was passed in April 2014. FINRA credited Andrew Pallas with the SIE, which began in October 2018.
Where did Andrew Pallas work before Minichmacgregor Wealth Management?
Before Minichmacgregor Wealth Management, Andrew Pallas was registered through LPL Financial LLC, October 2019 to October 2019; Axa Advisors, LLC, July 2016 to September 2017.
Where is Andrew Pallas based?
Andrew Pallas’ registered office is in Saratoga Springs, NY.
Is Andrew Pallas registered with FINRA?
No. Andrew Pallas has no current broker registration.
Is Andrew Pallas a CFP?
Minichmacgregor Wealth Management lists Andrew Pallas with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Andrew Pallas’ record?
Search CRD 6113250 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Pallas’ full registration record.
