Scott A. Windmiller
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 Alan Windmiller was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1981. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2006 - December 13, 2017
QUEST CAPITAL STRATEGIES, INC.
July 6, 1992 - September 11, 2006
INVESTACORP, INC.
August 8, 1990 - July 2, 1992
A. G. EDWARDS & SONS, INC.
July 12, 1988 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - July 20, 1988
LEHMAN BROTHERS INC.
March 11, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 28, 1981 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 8/7/1985
Interest Rate Options ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
