Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Douglas Maloy is a financial advisor with over 25 years of experience in the industry. Scott has a strong background in both brokerage and investment advisory services. Scott is currently registered with LPL Financial LLC and has held previous positions with Morgan Stanley, Citigroup Global Markets Inc., Wachovia Securities, LLC, A. G. Edwards & Sons, Inc., Shearson Lehman Hutton Inc., and Foster & Marshall Inc. Scott holds Series 3, 7, 63, and 66 securities licenses and the SIE. Scott is a Certified Financial Planner (CFP) and offers financial planning services to individuals, businesses, and institutions. Scott has a strong commitment to providing personalized financial advice and helping his clients achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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
WA
10/11/2018 - Present
LPL Financial LLC (TACOMA WA)
WA
06/01/2009 - 05/19/2014
MORGAN STANLEY (TACOMA WA)
WA
04/25/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TACOMA WA)
WA
01/01/2008 - 05/20/2008
WACHOVIA SECURITIES, LLC (TACOMA WA)
WA
06/07/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (TACOMA WA)
NA
04/12/1984 - 05/20/1988
SHEARSON LEHMAN HUTTON INC.
NA
11/21/1984 - 04/10/1985
FOSTER & MARSHALL INC.
BOTH
Issued 07/13/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/17/1984
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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