Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Christian Rosser has over 20 years of experience in the financial services industry. Scott is a Registered Representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since October 2015. Prior to joining Merrill Lynch, Scott held positions at HSBC Securities (USA) Inc., Comerica Securities, UBS PaineWebber Inc., and Dean Witter Reynolds Inc.. Scott has a Series 7, Series 63, Series 65, and Series 66 license. He has also passed the Securities Industry Essentials (SIE) Exam. Scott's specializations include investment advisory, securities, and financial planning. Scott is dedicated to providing his clients with the highest level of personalized service.
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
CA
11/13/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
08/03/2011 - 08/08/2014
HSBC SECURITIES (USA) INC. (BEVERLY HILLS CA)
CA
04/15/2008 - 07/15/2011
COMERICA SECURITIES (LOS ANGELES CA)
NJ
03/09/2001 - 12/20/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
04/14/1999 - 03/16/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
09/22/1997 - 04/06/1999
THE MERCURY GROUP (LAKEWOOD CO)
BOTH
Issued 06/17/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/22/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2008
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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