Scott B. Hale

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CRD#: 1008566

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 Bates Hale, who also goes by Bates Hale, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1981. Scott had worked at 11 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bates Hale

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 27, 2003 - November 4, 2004

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

August 9, 2001 - December 31, 2002

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 18, 1999 - February 8, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

February 24, 1998 - November 11, 1998

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Past

September 19, 1996 - December 31, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 16, 1995 - May 22, 1996

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 28, 1994 - May 2, 1995

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 17, 1992 - February 23, 1993

WILSON-DAVIS & CO., INC.

CRD#: 3777

SALT LAKE CITY, UT

Past

January 20, 1992 - July 20, 1992

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Past

February 8, 1990 - October 25, 1990

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

January 2, 1986 - May 13, 1988

WILSON-DAVIS & CO., INC.

CRD#: 3777

Past

August 16, 1984 - November 24, 1986

MONY SECURITIES CORPORATION

CRD#: 4386

Past

September 21, 1982 - March 1, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 10, 1982 - October 21, 1982

WADDELL & REED

CRD#: 866

Past

November 4, 1981 - May 10, 1982

FIRST EQUITIES CORP.

CRD#: 6372

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Current Firm

SCF SECURITIES, INC.

SCF SECURITIES, INC. | SECURITY CONSULTANTS FINANCIAL SECURITIES, INC.

CRD#: 47275 / SEC#: , 8-51760

Terminated by SEC on 09/30/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

Arizona since 05/19/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SCF HOLDINGS, INC.	SHAREHOLDER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA	CHIEF FINANCIAL OFFICER	3197368

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott B. Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

WMA SECURITIES, INC.

FIRST SECURITY INVESTOR SERVICES, INC.

WMA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

WILSON-DAVIS & CO., INC.

FIRST SECURITY INVESTOR SERVICES, INC.

WADDELL & REED

WILSON-DAVIS & CO., INC.

MONY SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

WADDELL & REED

FIRST EQUITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1981

Series 7

Date: 9/19/1981

Current Firm

SCF SECURITIES, INC.

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SCF SECURITIES, INC.

TRUST BUT VERIFY

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