Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Mercer is a financial advisor with over 20 years of experience in the industry. Scott has a strong background in securities, options, futures and managed funds. Scott has worked at Raymond James & Associates, Inc. since May 2021, and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley DW Inc. Scott is registered to provide investment advice in 24 states. Scott is a strong advocate for providing financial planning, pension consulting, educational seminars, selection of other advisors and portfolio management services for both individuals 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.
Please see note in schedule d - miscellaneous
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
MN
05/25/2021 - Present
Raymond James & Associates, Inc. (MINNEAPOLIS MN)
MN
08/26/2005 - 05/27/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STILLWATER MN)
NY
06/03/2002 - 09/01/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 06/21/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2014
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/30/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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