Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott E Carswell is an active advisor in the financial services industry. Scott has been in the business for 12 years and is currently a registered representative for Wells Fargo Clearing Services, LLC. Scott has a strong background in the industry, with prior experience at Edward Jones, SouthTrust Securities, LLC and A. G. Edwards & Sons, INC. Scott holds a variety of licenses and certifications, including Series 63, 66, 7, 9, 10 and SIE. Scott is registered in 31 states and is able to provide investment advice in all areas of securities and investment products. Scott is also a registered Investment Advisor Representative (IAR) in Georgia, Tennessee and Texas. Scott is a valuable resource for individuals and institutions seeking investment advice.
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
TN
02/18/2020 - Present
Wells Fargo Clearing Services, LLC (CHATTANOOGA TN)
TN
02/08/2013 - 02/17/2020
EDWARD JONES (CLEVELAND TN)
AL
07/08/2004 - 01/21/2005
SOUTHTRUST SECURITIES, LLC (BIRMINGHAM AL)
MO
03/20/2002 - 09/26/2002
EDWARD JONES (ST. LOUIS MO)
MO
09/07/2001 - 03/20/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 02/22/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/06/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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