Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Gerald Thole is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Saint Paul, MN. Scott has been in the securities industry since 2002. Scott has been a registered representative with Morgan Stanley since 2009 and has been a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2016. Scott is a member of the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 6, Series 7, Series 31, Series 63, and Series 65. Scott is also a registered investment advisor representative in Minnesota and Texas. Scott specializes in investments for individuals, businesses, and pension and profit-sharing plans. Scott is also a board member of the Chicago HOPE charitable organization.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MN
06/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAINT PAUL MN)
MN
06/01/2009 - 06/10/2016
MORGAN STANLEY (ST.PAUL MN)
IL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
IL
09/09/2005 - 04/02/2007
MORGAN STANLEY DW INC. (CHICAGO IL)
MI
04/08/2002 - 09/19/2005
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 01/27/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 07/23/2002
Series 7 - General Securities Representative Examination
BC
Issued 04/05/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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