Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Moulton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Scott has been in the financial industry since 2000 and is licensed to sell securities in 53 states and the District of Columbia. Scott offers a wide range of financial services, including portfolio management, financial planning, and investment advice. Scott is also a Registered Principal and holds the Series 6, 7, 9, 10, 24, 26, 63, and 65 licenses. In addition to working with Merrill Lynch, Pierce, Fenner & Smith Inc. Scott also owns rental property in Saratoga, NY.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
10/17/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALBANY NY)
NY
10/23/2009 - 04/23/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBANY NY)
NY
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LATHAM NY)
NY
09/25/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
02/08/2000 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
IA
Issued 04/22/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/09/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/06/2011
Series 24 - General Securities Principal Examination
BC
Issued 06/26/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2002
Series 7 - General Securities Representative Examination
BC
Issued 02/07/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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