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 Smallman is a financial advisor based in Charlotte, NC. Scott has been in the financial industry since 1989 and is currently registered with Tiaa-Cref Individual & Institutional Services, LLC. Scott has a wide range of experience in the financial industry, including working with high-net-worth individuals, businesses, and charitable organizations. Scott holds a number of licenses and certifications including the Series 7, Series 3, Series 4, Series 24, Series 53, and Series 99TO. Scott is committed to providing personalized financial advice and helping his clients 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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
NC
10/11/2002 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
MA
06/24/2002 - 09/12/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NJ
09/04/1997 - 12/31/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
NY
05/01/1996 - 08/19/1997
ARBITRAGE PARTNERS, INC. (NEW YORK NY)
NE
09/26/1992 - 02/23/1996
K. AUFHAUSER & COMPANY, INC. (OMAHA NE)
NY
04/26/1991 - 10/07/1991
NORSTAR BROKERAGE CORPORATION (NEW YORK NY)
NA
04/22/1987 - 07/27/1989
CHARLES SCHWAB & CO., INC.
NA
05/27/1986 - 05/19/1987
E. F. HUTTON & COMPANY INC
NA
10/01/1985 - 03/17/1986
GRUNTAL & CO. INCORPORATED
NA
07/23/1985 - 10/01/1985
JII SECURITIES INC.
BC
Issued 08/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/27/1993
Series 4 - Registered Options Principal Examination
BC
Issued 04/05/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
BC
Issued 04/30/1984
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
Not sure Scott Smallman is the right advisor for you? Invested Better is here to help.
