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Scott Spencer Bowen

UBS Securities LLC

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About Scott Spencer Bowen

Scott Spencer Bowen is a securities professional with over 25 years of experience in the industry. Scott has a strong background in the financial services industry, having worked at firms such as Deutsche Bank Securities Inc., Morgan Stanley & Co. Incorporated, and Rice Financial Products Company. Scott is currently registered with UBS Securities LLC and holds the Series 7, Series 99TO and SIE licenses. Scott is dedicated to providing clients with personalized financial advice and guidance.

Firm Information

Scott Bowen is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Scott Bowen’s Registration & Firm History

NY

03/18/2015 - Present

UBS Securities LLC (NEW YORK NY)

NY

02/08/2011 - 08/15/2013

RICE FINANCIAL PRODUCTS COMPANY (NEW YORK NY)

NY

10/01/2008 - 09/18/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

10/29/1996 - 04/11/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Scott Spencer Bowen.
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