Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Smithson is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 9 years in the industry. Scott has been licensed in 53 states and holds Series 66, 10, 9, SIE and 7 licenses. Previously Scott was associated with LPL FINANCIAL LLC and EDWARD JONES. Scott Smithson provides a variety of financial services to individuals, corporations, charitable organizations, and pension and profit-sharing plans, including portfolio management for businesses and individuals, as well as pension consulting. Scott is also an active registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc.
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
AZ
11/15/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHANDLER AZ)
AZ
01/12/2016 - 09/21/2017
LPL FINANCIAL LLC (PHOENIX AZ)
AZ
04/15/2014 - 01/05/2016
EDWARD JONES (PHOENIX AZ)
BOTH
Issued 05/09/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/06/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/31/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2014
Series 7 - General Securities 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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