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 Springer is a financial advisor with UBS Financial Services Inc. in LAKE OSWEGO, OR. Scott has been in the industry since November 22, 1988 and is registered in 32 states. Scott has passed the Series 63, 66, 7 and SIE exams. Scott is also registered as an Investment Advisor Representative in Texas and Washington. Scott has previously worked at PIPER JAFFRAY & CO. and DAIN BOSWORTH INCORPORATED.
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.
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.
See schedule d - miscellaneous
1
2
OR
07/12/2019 - Present
UBS Financial Services Inc. (LAKE OSWEGO OR)
OR
08/29/1997 - 08/12/2006
PIPER JAFFRAY & CO. (LAKE OSWEGO OR)
NA
11/23/1988 - 09/18/1997
DAIN BOSWORTH INCORPORATED
BOTH
Issued 10/21/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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