Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Sugarman is a financial advisor associated with UBS Financial Services Inc. Scott has been a registered representative for over 33 years. Scott is registered with the Securities and Exchange Commission (SEC) and FINRA, as well as in many states. Scott holds a Series 3, 7, 31 and 63 licenses and has passed the SIE and Series 65 exams. Scott also has experience working at Citigroup Global Markets Inc. and PaineWebber Incorporated.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/12/2006 - Present
UBS Financial Services Inc. (LA JOLLA CA)
CA
05/30/1994 - 07/17/2006
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
NJ
06/28/1989 - 05/23/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/06/1989 - 07/26/1989
SHEARSON LEHMAN HUTTON INC.
NA
02/14/1989 - 03/15/1989
BARABAN SECURITIES, INC.
IA
Issued 09/07/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2004
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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