Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Kauls has been in the financial industry since 1987. Scott is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Minneapolis, Minnesota. Scott is registered with the state of Minnesota as well as 34 other states and holds licenses for both broker-dealer and investment adviser activities. Scott has been registered in Texas since 1995 and is actively registered with the state of Minnesota. Scott has passed the Series 63, Series 65, Series 7 and Series 31 exams. Scott also holds the SIE license. Scott has worked with Merrill Lynch since 1987. Scott works with clients of all sizes. Scott's firm is a large firm with assets under management of more than 1 trillion dollars. Scott's firm offers financial planning services, pension consulting, educational seminars and portfolio management for businesses and individuals.
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
03/06/1995 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MINNEAPOLIS MN)
IA
Issued 10/12/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/21/1987
Series 7 - General Securities 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
Not sure Scott Kauls is the right advisor for you? Invested Better is here to help.
