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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 Lee Rockwell is an investment advisor representative with Morgan Stanley. Scott has been in the industry since January 2002, and has been associated with Morgan Stanley since June 2009. Scott has a series 63, 65 and 7 license. In addition to the series 7, Scott has also passed the series 31 and SIE exams. Scott provides asset allocation advice, financial planning, pension consulting, and educational seminars to clients. Scott is registered with the state of Florida and 31 other states and territories.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
06/01/2009 - Present
Morgan Stanley (Sarasota FL)
FL
01/12/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SARASOTA FL)
FL
06/16/2006 - 01/14/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SARASOTA FL)
FL
01/08/2002 - 06/20/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SARASOTA FL)
IA
Issued 12/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 01/07/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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