Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Raymond Swenson is a financial advisor with UBS Financial Services Inc. Scott has been in the industry since 1997 and has a strong track record of success. Scott holds Series 4, 7, 31, 63, and 65 licenses. Scott has worked with a variety of clients, including individuals, families, businesses, and institutions. Scott is committed to providing personalized financial advice and helping his clients reach 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.
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.
See schedule d - miscellaneous
1
2
MN
02/03/2014 - Present
UBS Financial Services Inc. (BLOOMINGTON MN)
MN
10/11/2006 - 05/29/2007
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
08/18/1997 - 08/23/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
IA
Issued 06/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/1997
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
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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