Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Scott has been a registered representative since 2003 and has held positions at Smbc Nikko Securities America, Inc., Macquarie Capital (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and KBC Financial Products USA, Inc. Douglas Scott is currently registered with Smbc Nikko Securities America, Inc. and holds the Series 7, Series 24, and Series 63 licenses.
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.
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.
1
2
NY
01/02/2015 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
07/21/2014 - 12/23/2014
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
NY
04/01/2010 - 07/08/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/24/2004 - 03/08/2010
KBC FINANCIAL PRODUCTS USA, INC. (NEW YORK NY)
BC
Issued 07/18/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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