Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Kelly is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a broker-dealer firm registered with FINRA and the SEC. Scott is also registered as an investment advisor representative with the state of Florida, Kentucky, and Texas. Scott Kelly has been in the financial services industry since January 1993. Scott has a diverse background and has worked with several firms before joining Merrill Lynch. Some of the previous firms include Morgan Stanley, Morgan Stanley DW Inc., Citigroup Global Markets Inc., and Lehman Brothers Inc.
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
KY
01/09/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOUISVILLE KY)
KY
04/02/2007 - 01/12/2009
MORGAN STANLEY & CO. INCORPORATED (LOUISVILLE KY)
KY
05/13/2005 - 04/02/2007
MORGAN STANLEY DW INC. (LOUISVILLE KY)
NY
07/31/1993 - 05/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/05/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/18/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/1996
Series 3 - National Commodity Futures Examination
BC
Issued 12/29/1992
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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