Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Friedman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Scott has been in the financial services industry for over 16 years. Scott has been registered with Merrill Lynch since August 2014 and has previously worked at Chase Investment Services Corp. and J.P. Morgan Securities LLC. Scott has a wide range of experience in providing financial advice to individuals, businesses, and institutions. Scott holds Series 7, 9, 10, 63, and 66 licenses and is registered to provide investment advice in 53 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
AZ
09/25/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Gilbert AZ)
AZ
10/01/2012 - 03/19/2014
J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)
AZ
07/11/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SCOTTSDALE AZ)
BOTH
Issued 08/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2006
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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