Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott C. Dale is a financial advisor with UBS Financial Services Inc., located in Bellevue, WA. Scott has been in the industry since 2007. He is registered as a Broker/Dealer and Investment Advisor. Scott has a strong track record of success in helping clients achieve their financial goals. He offers a variety of services, including financial planning, portfolio management, and investment advisory 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
10/23/2020 - Present
UBS Financial Services Inc. (Bellevue WA)
WA
06/18/2012 - 10/22/2020
J.P. MORGAN SECURITIES LLC (SEATTLE WA)
WA
07/13/2010 - 06/19/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
WA
10/21/2009 - 12/17/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
NY
06/22/2001 - 04/05/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
01/19/1999 - 10/04/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MI
03/23/1998 - 12/18/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
CA
01/21/1998 - 03/11/1998
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
MI
10/17/1997 - 11/28/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 05/11/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2009
Series 7 - General Securities Representative Examination
BC
Issued 10/16/1997
Series 52 - Municipal 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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