Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Mings is a financial advisor with Raymond James & Associates, Inc. Scott has been working in the financial services industry since 1991 and has a wide range of experience in financial planning, portfolio management, and investment advisory services. Scott is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 31, and 63 licenses. He also holds the Series 65 license to provide investment advisory services. Scott has worked with a variety of clients, including individuals, families, businesses, and institutions. Scott is committed to providing his clients with personalized financial advice and investment strategies to help them 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.
Please see note in schedule d - miscellaneous
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
IN
08/04/2009 - Present
Raymond James & Associates, Inc. (Greenwood IN)
IN
06/01/2009 - 07/23/2009
MORGAN STANLEY SMITH BARNEY (INDIANAPOLIS IN)
IN
08/17/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (INDIANAPOLIS IN)
AZ
03/04/1993 - 03/03/1995
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NY
09/10/1991 - 02/03/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/21/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/13/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 09/09/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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