Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott O Witherspoon is a financial advisor with over 20 years of experience in the industry. Scott is currently registered with LPL Financial LLC and has previously held positions with CUSO Financial Services, LP, Invest Financial Corporation, Morgan Stanley Smith Barney, Morgan Stanley & Co. LLC, and Morgan Stanley DW Inc. Scott is a Series 7, 9, 10, 24, 3, 31, 63, 65, and SIE licensed professional. Scott specializes in providing financial advice to a wide range of clients, including individuals, families, businesses, and charitable organizations. Scott is committed to providing personalized financial advice that helps 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.
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.
Consulting and other non-discretionary advisory services
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.
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NY
01/26/2025 - Present
LPL Financial LLC (POUGHKEEPSIE NY)
NJ
09/16/2020 - 09/25/2022
CUSO FINANCIAL SERVICES, L.P. (BRIDGEWATER NJ)
NJ
02/14/2018 - 01/11/2019
LPL FINANCIAL LLC (BASKING RIDGE NJ)
NJ
03/25/2014 - 02/14/2018
INVEST FINANCIAL CORPORATION (BASKING RIDGE NJ)
NY
06/01/2009 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
01/30/2007 - 05/02/2012
MORGAN STANLEY & CO. LLC (PURCHASE NY)
NY
03/18/1997 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 08/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/01/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2004
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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