Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Rochlin is a financial advisor who has been in the industry since 1999. Scott is currently registered with Maxim Financial Advisors LLC. Prior to joining Maxim Financial Advisors LLC, Scott was employed by InvestEC Ernst & Company and Royce Investment Group, Inc. Scott holds Series 7, Series 63, and Series 65 licenses and the SIE exam. Scott specializes in providing portfolio management services for businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
07/23/2021 - Present
Maxim Financial Advisors LLC (Woodbury NY)
NY
10/29/1999 - 10/23/2002
INVESTEC ERNST & COMPANY (NEW YORK NY)
NY
10/28/1999 - 10/29/1999
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
IA
Issued 11/15/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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NYSE Arca, Inc.
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Nasdaq Stock Market
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