Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Edward Deffinbaugh is a financial advisor with RBC Capital Markets, LLC. Scott has been in the financial services industry since 1999 and has a diverse background, including previous experience at LPL Financial Corporation and UVEST Financial Services Group, Inc.. Scott is a CERTIFIED FINANCIAL PLANNER™ and has a wide range of experience in various financial service areas, including retirement planning, investment management, and education. He is registered with the FINRA and holds licenses in Series 6, 7, 10, 31, 63, and 66. Scott is dedicated to helping 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NC
08/13/2018 - Present
RBC Capital Markets, LLC (WILMINGTON NC)
MD
10/09/2007 - 02/27/2009
LPL FINANCIAL CORPORATION (OLNEY MD)
MD
09/14/1999 - 10/09/2007
UVEST FINANCIAL SERVICES GROUP, INC. (OLNEY MD)
BOTH
Issued 04/09/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/11/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 07/02/2003
Series 7 - General Securities Representative Examination
BC
Issued 09/13/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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