Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scotty? Claim Your ProfileScotty Paul Smith is a registered representative with National Financial Services LLC. Scotty holds the Series 7, 9, 10, 63 and 99TO licenses and has been in the industry since June 10, 2016. Prior to joining National Financial Services, Scotty worked at Fidelity Brokerage Services LLC.
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.
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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NJ
10/12/2018 - Present
National Financial Services LLC (JERSEY CITY NJ)
TX
05/19/2016 - 09/18/2018
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
BC
Issued 07/22/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/17/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 09/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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