Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Mosle Waltmon is a registered representative with RBC Capital Markets, LLC. Scott has been in the financial services industry since April 3, 1989. Scott is licensed to conduct business in California, Colorado, Florida, Louisiana, New Jersey, North Carolina, Tennessee, Texas, Utah, and Virginia. Scott's current registrations include Series 63, Series 66, Series 7, and Series 24. Scott is also a board member of The Rise School of Houston. Scott is a financial advisor who has been working in this field for over 30 years. Scott's work experience includes previous employment with Piper Jaffray & Co., Raymond James & Associates, Inc., First Southwest Company, Masterson Moreland Sauer Whisman, Inc., Everen Securities, Inc., Lovett Underwood Neuhaus & Webb, Inc., and Boettcher & Company, Inc.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating 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.
1
2
TX
03/19/2015 - Present
RBC Capital Markets, LLC (HOUSTON TX)
TX
01/28/2013 - 12/24/2014
PIPER JAFFRAY & CO. (HOUSTON TX)
TX
04/25/2005 - 01/28/2013
RAYMOND JAMES & ASSOCIATES, INC. (HOUSTON TX)
TX
02/01/1996 - 02/07/2005
FIRST SOUTHWEST COMPANY (DALLAS TX)
NA
03/06/1995 - 02/13/1996
MASTERSON MORELAND SAUER WHISMAN, INC.
MO
09/04/1990 - 07/01/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
09/01/1988 - 09/04/1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
NA
03/23/1988 - 09/01/1988
BOETTCHER & COMPANY, INC.
BOTH
Issued 03/19/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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