Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Anthony Ventoza is a financial advisor with UBS Financial Services Inc. Scott has been in the financial services industry since April 1996. Scott has registrations in 26 states and specializes in portfolio management for businesses and individuals, financial planning, and pension consulting. Scott is also registered as an investment advisor representative in Texas and Washington. Scott has been with UBS Financial Services Inc. since January 2009. Prior to that, Scott was with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from April 1996 until January 2009. Scott is also a partner with VENTOZA FAMILY LLC, which provides wholesale and merchandising services.
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.
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.
See schedule d - miscellaneous
1
2
WA
01/23/2009 - Present
UBS Financial Services Inc. (SEATTLE WA)
WA
04/04/1996 - 01/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEATTLE WA)
IA
Issued 05/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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