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 Roetzel is a financial advisor with Independent Financial Group, LLC. Scott has been in the industry since 1993 and has a broad range of experience serving clients in a variety of capacities. Scott specializes in serving individuals, corporations and high net worth clients. He is a Registered Representative and has a license to provide investment advice in the state of Nebraska.
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.
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.
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2
NE
12/01/2016 - Present
Independent Financial Group, LLC (LINCOLN NE)
NE
11/02/2009 - 07/30/2010
NATIONAL PLANNING CORPORATION (GRAND ISLAND NE)
NE
01/11/2005 - 11/03/2009
MAIN STREET SECURITIES, LLC (GRAND ISLAND NE)
NY
05/04/1993 - 01/10/2005
AXA ADVISORS, LLC (NEW YORK NY)
NY
05/04/1993 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 11/29/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/03/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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