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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Hoffman Mortimer is a financial advisor with over 40 years of experience in the industry. Scott is currently registered with Wells Fargo Clearing Services, LLC, and has been with the firm since November 2016. Scott has been actively involved in the industry since 1978 and is registered with the Securities Industry Essentials Examination (SIE) and the General Securities Representative Examination (Series 7). Scott is also registered with the Uniform Investment Adviser Law Examination (Series 65) and the Uniform Securities Agent State Law Examination (Series 63). Scott is a licensed investment advisor representative in Maryland, South Carolina, and Texas. In addition to his current registration, Scott has previously held registrations with other firms such as UBS Financial Services Inc. and First Union Securities, Inc.
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
MD
12/11/2009 - Present
Wells Fargo Clearing Services, LLC (BETHESDA MD)
MD
03/31/2000 - 09/10/2007
UBS FINANCIAL SERVICES INC. (BETHESDA MD)
MO
10/01/1999 - 04/18/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
03/07/1984 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
01/27/1978 - 03/26/1984
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 02/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1978
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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