Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Scarborough is a financial advisor with over 20 years of experience in the industry. She is currently registered with Stifel, Nicolaus & Company, Inc. in Hickory, North Carolina, and has held previous positions with Sagepoint Financial, Inc., Wells Fargo Advisors, LLC, Wachovia Securities, LLC, and Carillon Investments, Inc. Alice is a licensed securities professional with a wide range of certifications including Series 7, Series 9, Series 10, Series 63, and Series 66. She offers a variety of financial planning services, including investment advice, retirement planning, college savings, and estate planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
01/06/2021 - Present
Stifel, Nicolaus & Company, Inc. (HICKORY NC)
NC
09/25/2013 - 10/12/2016
SAGEPOINT FINANCIAL, INC. (HICKORY NC)
NC
01/26/2006 - 08/09/2013
WELLS FARGO ADVISORS, LLC (HICKORY NC)
MO
02/20/2004 - 06/07/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
OH
05/14/1998 - 12/31/2003
CARILLON INVESTMENTS, INC. (CINCINNATI OH)
BOTH
Issued 08/30/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/24/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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