Scott J. Wetter
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 Joseph Wetter was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1982. Scott had worked at 9 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - October 10, 2014
DAVID LERNER ASSOCIATES, INC.
July 15, 2014 - August 1, 2014
GLOBAL ARENA CAPITAL CORP
October 11, 2011 - December 5, 2012
DEALERWEB LLC
February 1, 2007 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
May 23, 1995 - December 6, 1996
LIBERTY BROKERS
November 19, 1993 - February 1, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
April 30, 1991 - November 12, 1993
CEDAR STREET SECURITIES CORP.
January 16, 1990 - April 30, 1991
MABON, NUGENT & CO.
July 22, 1982 - January 15, 1990
KMS CORPORATE BROKERS, INC.
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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
