Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Thomas Sargent is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Scott has been in the industry since 1994 and is registered with both the state of California and Texas. Scott holds the Series 7, Series 31, Series 63 and Series 65 licenses, as well as the SIE exam. Scott's specialties include providing financial planning services, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. Scott's prior employment includes working with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
CA
05/17/2010 - Present
Wells Fargo Clearing Services, LLC (LAGUNA BEACH CA)
CA
06/01/2009 - 05/11/2010
MORGAN STANLEY SMITH BARNEY (IRVINE CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (IRVINE CA)
CA
07/22/1994 - 04/02/2007
MORGAN STANLEY DW INC. (IRVINE CA)
IA
Issued 10/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 07/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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