Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott David Smith is a financial advisor with over 24 years of experience in the financial services industry. Scott currently holds registrations as a Registered Representative (RR) and Investment Advisor Representative (IAR) with Wells Fargo Clearing Services, LLC. Scott's previous experience includes a role with A. G. Edwards & Sons, Inc. He is a Series 7 and Series 63 licensed professional and has also earned the Series 3, Series 31 and SIE licenses. Scott provides financial advisory services to a wide range of clients, including individuals, businesses, trusts and estates. Scott offers a comprehensive range of financial services including 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
TX
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (AUSTIN TX)
TX
01/14/1998 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
BC
Issued 01/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2012
Series 3 - National Commodity Futures Examination
BC
Issued 05/01/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 01/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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