Scott TholeCRD Number: 4516390
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Scott Thole (CRD# 4516390) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Saint Paul, MN and has over 16 years of experience in the finance industry.
Brown Wealth Management, LLC
Phillip James Financial Company
Allodium Investment Consultants, LLC
|Bank Of America, N.a.||St. Paul, MN||May 2016 - Current||2|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Saint Paul, MN||May 2016 - Current||2|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - May 2016||1|
|Morgan Stanley||St. Paul, MN||Nov 2014 - May 2016||1|
|Morgan Stanley Smith Barney LLC||Chicago, IL||Jun 2009 - Nov 2014||5|
|Morgan Stanley & Company, Incorporated||Chicago, IL||Apr 2007 - Jun 2009||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2002|
|S65||NASAA Investment Advisors Law Examination||Jan 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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