Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Matthew Rhea is a financial advisor who has been in the industry since 1992. Scott is currently registered with UBS Financial Services Inc. Scott is a Certified Financial Planner. Scott has a long history in the financial services industry having also been registered with Morgan Stanley, Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, First Union Securities, Inc., First Union Capital Markets Corp., and Prudential Securities Incorporated. Scott provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management services. Scott's clients include high net worth individuals, corporations or other businesses, individuals other than high net worth, and charitable organizations.
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
TN
05/06/2013 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
06/01/2009 - 04/12/2013
MORGAN STANLEY (KNOXVILLE TN)
TN
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (KNOXVILLE TN)
MD
04/20/2001 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
10/01/1999 - 05/02/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
08/25/1995 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
07/09/1992 - 08/31/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 01/22/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/07/1992
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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