Scott F. Schulte
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 Frederick Schulte was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1982. Scott had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - May 25, 2012
AXIOM CAPITAL MANAGEMENT, INC.
October 21, 2008 - August 23, 2011
ANDREW GARRETT INC.
August 14, 2008 - August 23, 2011
ANDREW GARRETT INC.
December 5, 2007 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
December 8, 1995 - December 18, 2007
AUGMENT SECURITIES INC.
January 11, 1994 - November 29, 1995
MORGAN STANLEY DW INC.
March 20, 1989 - January 14, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 29, 1982 - March 29, 1989
THOMSON MCKINNON SECURITIES 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
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
