Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scot? Claim Your ProfileScot Trantham is a financial advisor at UBS Financial Services Inc. in Plano, Texas. Scot has been working in the financial services industry since 1999. Prior to joining UBS, Scot was a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Scot is registered with the state of Texas as a Registered Representative and Investment Advisor Representative. Scot is also licensed in Arkansas, California, Colorado, Florida, Georgia, Idaho, Illinois, Iowa, Michigan, Nevada, New Hampshire, New Mexico, North Carolina, Ohio, Oklahoma, South Carolina, Tennessee, Virginia and Texas. Scot has a Series 7, Series 63 and Series 65 licenses. Scot is a member of the Financial Industry Regulatory Authority (FINRA). Scot is a Certified Financial Planner (CFP®). Scot specializes in providing financial planning services to individuals, families, and businesses.
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.
See schedule d - miscellaneous
1
2
TX
01/29/2009 - Present
UBS Financial Services Inc. (PLANO TX)
TX
06/10/1999 - 01/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANO TX)
NY
07/21/1998 - 09/08/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/30/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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