Scott M. Nemecek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott M Nemecek, who also goes by Scott Nemecek, Scott Michael Nemecek, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2016. Scott had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2024 - June 12, 2025
UBS ASSET MANAGEMENT (US) INC.
February 8, 2023 - May 1, 2024
CREDIT SUISSE SECURITIES (USA) LLC
April 8, 2016 - August 10, 2022
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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