Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott D. Brown is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 2003. Scott Brown is registered in Connecticut and Massachusetts, and has series 3, 63, 66, and 7 licenses. Scott Brown has worked with a wide range of clients, including corporations, high-net-worth individuals, and pension plans, providing investment advice and portfolio management services. Scott Brown specializes in financial planning, investment management, and retirement planning.
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
MA
01/02/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/20/2008 - 12/06/2012
UBS FINANCIAL SERVICES INC. (BOSTON MA)
MA
09/22/2008 - 11/05/2008
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
06/22/2004 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
NY
03/07/2003 - 05/27/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 03/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/03/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/2005
Series 3 - National Commodity Futures Examination
BC
Issued 03/06/2003
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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