Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scot? Claim Your ProfileScot Erwin is a financial advisor with over 30 years of experience in the industry. Scot is currently registered with Wells Fargo Clearing Services, LLC in California and Texas. Scot has also held previous roles with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Oppenheimer & Co. Inc., CIBC World Markets Corp., PaineWebber Incorporated, Everen Securities, Inc., Dain Bosworth Incorporated and Smith Barney, Harris Upham & Co., Incorporated. Scot has a wide range of experience, including investment advisory services, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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
CA
11/01/2024 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
WA
06/01/2009 - 03/08/2012
MORGAN STANLEY SMITH BARNEY (BELLEVUE WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BELLEVUE WA)
WA
05/05/2005 - 04/02/2007
MORGAN STANLEY DW INC. (BELLEVUE WA)
NY
01/03/2003 - 05/06/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
04/09/1998 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
04/29/1994 - 04/17/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MO
09/05/1990 - 05/03/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
04/30/1985 - 09/24/1990
DAIN BOSWORTH INCORPORATED
NA
12/03/1983 - 05/09/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
07/21/1983 - 11/08/1983
EVANS LLEWELLYN SECURITIES, INC.
IA
Issued 04/15/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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