Iain J. Scott
Professional summary
Iain John Wesley Scott, who also goes by Iain W Scott, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Iain is registered as a RR (Registered Representative) and started their career in finance in 2009. Iain has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Iain John Wesley Scott's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2019 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901January 21, 2016 - December 27, 2018
SPEARHEAD CAPITAL, LLC
March 20, 2014 - November 17, 2015
INNOVATION PARTNERS LLC
December 8, 2009 - September 16, 2013
M HOLDINGS 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
(9/12/2019)
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(9/12/2019)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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