Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Peter Fishman is a financial advisor with Stifel, Nicolaus & Company, Inc., a firm headquartered in St. Louis, MO. Scott has been in the financial services industry since 1998 and has experience at several firms including Thomas Weisel Partners LLC, BancBoston Robertson Stephens Inc. and NationsBanc Montgomery Securities LLC. Scott is registered with FINRA and holds the Series 7, 55, 57TO and SIE licenses, as well as the Series 63 license. Scott is based in Baltimore, MD.
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.
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
MD
07/10/2010 - Present
Stifel, Nicolaus & Company, Inc. (BALTIMORE MD)
CA
02/09/1999 - 07/20/2010
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
CA
12/09/1998 - 01/22/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
NY
01/22/1998 - 11/04/1998
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
BC
Issued 02/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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