Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Michael Ozer has been in the industry since 1981. Scott is currently registered with Emerson Equity LLC and has held previous registrations with SANDLAPPER SECURITIES, LLC, FINANCIAL WEST GROUP, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC. and PAINEWEBBER INCORPORATED. Scott holds licenses for Series 3, Series 5, Series 7, Series 63 and SIE exams. Scott provides advisory services such as financial planning, portfolio management for individuals and selection of other advisers. Scott focuses on investments for high-net-worth individuals and individuals other than high-net-worth.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
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.
A percentage of the total value of assets under management is charged.
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CA
09/10/2019 - Present
Emerson Equity LLC (Woodland Hills CA)
CA
11/06/2013 - 08/30/2019
SANDLAPPER SECURITIES, LLC (AGOURA HILLS CA)
CA
09/02/2005 - 11/06/2013
FINANCIAL WEST GROUP (AGOURA HILLS CA)
NY
07/31/1993 - 09/22/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/25/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
11/17/1981 - 11/30/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 05/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1989
Series 3 - National Commodity Futures Examination
BC
Issued 11/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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