Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Allen Ashby is a financial professional with over 20 years of experience in the securities industry. Scott has a strong background in investment banking and municipal securities. He currently holds registrations in all 50 states and the District of Columbia. Scott is associated with SMBC Nikko Securities America, Inc. and previously worked with Morgan Stanley & Co. LLC.
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.
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.
1
2
NY
09/27/2021 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
02/06/2001 - 10/21/2021
MORGAN STANLEY & CO. LLC (NEW YORK NY)
BC
Issued 05/01/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure Scott Ashby is the right advisor for you? Invested Better is here to help.
