Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Alan Scott is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., located in Charlotte, NC. Michael has been in the industry since 1996 and has held various roles at firms like Lincoln Financial Distributors, Inc. and Stephens Inc. Michael holds several licenses and certifications including Series 7, 63, 65, and 66. Michael is registered to provide investment advice in a number of states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
02/25/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
PA
05/28/2015 - 02/20/2019
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NC
11/03/2005 - 08/26/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
MA
06/21/2004 - 09/27/2005
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
NC
01/01/2003 - 06/21/2004
BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)
AR
09/11/2000 - 01/01/2003
STEPHENS INC. (LITTLE ROCK AR)
NC
03/17/1998 - 09/08/2000
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
01/20/1996 - 12/09/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
07/19/1988 - 10/03/1989
F.N. WOLF & CO., INC.
BOTH
Issued 02/26/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/10/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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