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 Hightower Advisors, LLC. Scott has been in the financial industry since 2004. Scott has a Series 66 license and a Series 24 license. Scott's areas of expertise include financial planning, portfolio management for businesses, and portfolio management for individuals. Scott also has experience in treasury management for corporate clients.
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.
Treasury management for corporate 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.
Retainer or service fees or some combination of 1, 2, 4, 5 & 7
1
2
NY
05/14/2019 - Present
Hightower Advisors, LLC (New York NY)
NY
03/08/2016 - 04/18/2017
HIGHTOWER SECURITIES, LLC (NEW YORK NY)
NY
06/11/2014 - 03/23/2015
CAIS CAPITAL LLC (NEW YORK NY)
NY
10/05/2010 - 11/05/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/25/2008 - 05/12/2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
CT
12/01/2005 - 09/08/2008
LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)
NY
06/22/2005 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
10/30/1997 - 08/21/2001
CITISTREET EQUITIES LLC (SOMERSET NJ)
NJ
08/07/1997 - 10/15/1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
08/12/1994 - 02/13/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/03/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2006
Series 24 - General Securities Principal Examination
BC
Issued 04/18/2017
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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