Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Leggett Carter is an investment advisor representative associated with UBS Financial Services Inc. Scott has been in the financial industry since 1987. Scott holds the Series 63, 65, and 7 licenses, and the SIE certification. Scott has a total of 28 state registrations and 3 IA registrations. Scott's previous experience includes roles with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Legg Mason Wood Walker, Incorporated. Scott also serves as President of the Kingston Tower Condo Association in Daytona Beach Shores, Florida. UBS Financial Services Inc. is an investment advisory firm with over $702 Billion in assets under management. The firm offers a wide range of services including financial planning, portfolio management, and educational seminars.
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
OH
10/26/2011 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
06/01/2009 - 09/22/2011
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
MD
11/03/1987 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
10/30/1987 - 11/04/1987
LEGG MASON MASTEN INC.
NA
04/29/1987 - 10/31/1987
LEGG MASON WOOD WALKER, INCORPORATED
IA
Issued 06/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
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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