Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Brown is a financial advisor with over 20 years of experience in the industry. Scott Brown has a Series 6, 7, and 63 license and is currently registered with Principal Asset Management in Boonton Township, New Jersey. Scott Brown also holds the Series 65 license and is registered as an Investment Advisor Representative. Scott Brown's prior experience includes roles at Guggenheim Funds Distributors, LLC, Transamerica Capital, Inc, AIG Capital Services, Inc., John Hancock Funds, LLC, Guardian Investor Services LLC, AllianceBernstein Investments, Inc., Tower Square Securities, Inc., and New England Securities. Scott Brown is a dedicated and experienced advisor who is committed to providing clients with personalized financial planning and investment advice.
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.
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.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Charge on a cost allocation basis to principal life
1
2
NJ
05/02/2024 - Present
Principal Asset Management (BOONTON TWP NJ)
IL
09/07/2023 - 10/27/2023
GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)
CO
01/12/2022 - 08/21/2023
TRANSAMERICA CAPITAL, INC. (DENVER CO)
NJ
11/03/2014 - 07/28/2021
AIG CAPITAL SERVICES, INC. (JERSEY CITY NJ)
MA
02/28/2013 - 11/03/2014
JOHN HANCOCK FUNDS, LLC (BOSTON MA)
NY
11/05/2009 - 02/21/2013
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
NY
09/30/2004 - 10/20/2009
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
CA
10/24/2003 - 09/17/2004
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
03/04/2003 - 10/28/2003
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 04/23/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/20/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2007
Series 7 - General Securities Representative Examination
BC
Issued 03/03/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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